The Partners

Gregory B. McLean is President, partner and Co-Founder Of Caruso McLean & Company Inc.

Greg was an Account Executive with EF Hutton & Co. Inc.. He was also Vice President\Branch Manager at Tucker Anthony & RL Day Inc.

Greg's licenses cover twelve states and include a Series 7, General Securities, Series 63, State Uniform Securities, Series 5, Interest Rate Options, Series 66, Investment Advisor Representative. Greg is a licensed Life and Health Insurance Agent in New York and Florida.

Greg received a Bachelor's Degree in Business Management at Siena College where he graduated Cum Laude. Greg furthered his education with graduate courses at The Lally School Of Management at Rensselaer Polytechnic Institute.

Greg serves on numerous community boards including The House of the Good Shepherd, Faxton\St. Lukes Healthcare and Presbyterian Homes & Services.

Greg resides in Clinton with his wife Cindy and their two children.

Ernest R. Caruso is Vice-President, partner and Co-Founder of Caruso McLean & Company Inc.
He has served as office manager to a regional medical supply company and treasurer of a privately endowed museum and school of the arts. He began a career in the securities industry as a licensed representative in 1982 with Dean Witter Reynold and later with Tucker Anthony & R.L. Day until 1988.

Ernie’s licenses cover nine states and include a Series 7, General Securities, Series 63, State Uniform Securities, Series 5, Interest Rate Options, Series 66, Investment Advisor Representative and he is the firms Chief Compliance Officer. Additionally, Ernie is licensed as a Life and Health Insurance Agent in New York and Florida.

Ernie received an Associates Degree in Accounting from Herkimer County Community College.

Ernie is a member of the SUNY Institute of Technology Foundation Board and past Treasurer of the Mohawk Valley Handicapped Persons Association.

Ernie resides in New Hartford with his wife Estelle and their two sons.

Securities offered through Royal Alliance Associates, Inc.
member FINRA/SIPC.

www.finra.org

DISCLOSURES

Gregory B. McLean, Ernest R. Caruso, Stephen L. Caruso and Mark Steckler are Registered Representatives of and offer securities products & services through Royal Alliance Associates, Inc. Member FINRA/SIPC, a registered broker dealer. In this regard, this communication is strictly intended for individuals residing in the states of Arizona, Connecticut, Florida, Georgia, Indiana, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, and Virginia. No offers may be made or accepted from any resident outside the specific states referenced.

Gregory B. McLean, Ernest R. Caruso, and Stephen L. Caruso are also separately registered as investment adviser representatives under Caruso McLean & Co., Inc., a registered investment advisor, offering advisory services in the state of New York. As such, these services are strictly intended for individuals residing in New York.

IMPORTANT CONSUMER INFORMATION:
A broker-dealer "BD", investment adviser "IA", a BD agent, or IA Representative may only transact business in a state if first registered in that state, or is excluded or exempt from registration in that state as a broker-dealer, investment adviser, BD agent or IA Representative, as appropriate. Follow-up, individualized responses to persons in a state by such firm or individual that involve either affecting or attempting to affect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made without first complying with appropriate registration requirements, or an applicable exemption or exclusion.

For information concerning the licensing status or disciplinary history of a broker-dealer, investment adviser, BD agent, or IA rep, a consumer should contact his or her state securities law administrator.

MUTUAL FUND & ANNUITY DISCLOSURE:
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