The Partners

Gregory B. McLean
President and Founding Partner
Registered in 12 states

Series 7 General Securities

Series 8 General Securities Supervision

Series 63 State Uniform Securities

Series 66 Investment Advisor Representative

Life and Health Insurance Insurance Agent in New York and Florida

Accredited Asset Management Advisor

Accredited Wealth Management Advisor

gbm@carusomclean.com

“I’ve counseled clients and managed their portfolios for over 25 years. I realized early on that each of my clients has their own story … their own distinct circumstances and views on investing. That’s why we custom design portfolios for our clients. We don’t try to squeeze them into a predetermined model."

“In our first conversation together, we’ll discuss exactly where you are and where you’re going financially. What’s your tolerance for risk? With what kinds of investments are you comfortable? Who are you responsible for … family, a business, a not-for-profit?"

“It’s my job to get you from point A to point B, but at the same time, help take the worry out of investing. Give me a call today and we’ll start the conversation.”

Greg’s career in financial services began as an account executive with E. F. Hutton & Co. in 1980. Before he co-founded Caruso McLean & Company, Inc. in 1988, he was vice president/branch manager at Tucker Anthony & R. L. Day, Inc.

Greg graduated Cum Laude with a bachelor’s degree in business management at Siena College. He took graduate courses at the Lally School of Management at Rensselaer Polytechnic Institute.

He serves on the boards of the House of the Good Shepherd, Presbyterian Homes and Services, and as chair of the board at Faxton-St. Luke’s Healthcare.

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

In Memoriam

Ernest R. Caruso

As many of you know, my partner, Ernie Caruso, passed away on May 6, 2010 of cancer. Our office mourns his loss, as do his clients, friends, and family.

Ernie’s clients were very important to him, as I’m sure they know. I want to reassure them that their accounts will be in capable hands with Ernie’s son, Stephen.

Steve has been an integral part of this firm since 1995. He is ready to help his father’s clients with their portfolios and financial planning.

On behalf of all of us here at Caruso McLean & Company, I want to thank you for your confidence in Ernie and our firm. Be assured that Ernie’s legacy … personal relationships as the foundation for client service … will continue.

Our name will remain the same, as will our service to you, our loyal clients. Please feel free to call Steve or me with any questions or concerns you might have regarding your portfolio.

And please join us in remembering Ernie Caruso and celebrating a life well lived.

Sincerely,

Greg McLean

President

Ernest R. Caruso
Vice President, Founding Partner, and Chief Compliance Officer
Registered in 9 states

Series 7 General Securities
Series 63 State Uniform Securities
Series 66 Investment Advisor Representative
Life and Health Insurance Agent in New York and Florida

“My clients are looking for investment growth and financial health. They have questions about the markets and they wonder which investments are right for them."

“That’s fine with me because I’ve always been a believer in face-to-face conversations with clients about their financial goals, plans, and investments. I’m happy to speak with them when they call."

“The best part of being in business all these years has been the clients I’ve met and have come to call friends. And I look forward to meeting you…give me a call and we’ll talk about your investments today.”

Ernie began his career in business as an office manager of a regional medical supply company and then treasurer of a privately endowed museum and school of the arts.

He started in the securities industry as a representative with Dean Witter Reynolds in 1982. Later he joined Tucker Anthony and R. L. Day until he co-founded Caruso Mclean in 1988.

Ernie graduated with an associate’s degree in accounting from Herkimer County Community College.

He is a member of the board of the SUNY Institute of Technology Foundation at Utica/Rome, Inc. and was treasurer of the Mohawk Valley Handicapped Persons Association.

He lives in New Hartford, New York with his wife Estelle. He has two grown children, one of whom, Stephen, is also with the firm.

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.

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All link information being provided is strictly as courtesy. When you link to any of the websites provided herewith, you are leaving this site. Caruso McLean & Co., Inc. and Royal Alliance Associates, Inc. make no representation as to the completeness or accuracy of information that is provided at these sites. Nor are the companies liable for any direct or indirect technical or system issues or any consequences arising out of your access to or your uses of third-party technologies, sites, information and programs made available through this site.

You are now leaving the website of Caruso McLean & Co., Inc. and you assume total responsibility for your use of the sites you are linking to.

The views expressed are not necessarily the opinion of Royal Alliance Associates Inc, and should not be construed directly or indirectly, as an offer to buy or sell any securities mentioned herein. Individual circumstances vary.

All Investing involves risk including the potential loss of principal. No investment strategy such as asset allocation can guarantee a profit or protect against loss in periods of declining values. Past performance is no guarantee of future results. Therefore, the information presented here should only be relied upon when coordinated with individual professional advice.

Periodic investment plans such as dollar cost averaging do not assure a profit or protect against a loss in declining markets. Such plans involve continuous investment in securities regardless of fluctuating price levels. Investors should consider their financial ability to continue purchases through periods of low price levels.

Indexes cannot be invested in directly, are unmanaged and do not incur management fees, costs and expenses

Fixed income investments are subject to various risks including changes in interest rates, credit quality, inflation risk, market valuations, prepayments, corporate events, tax ramifications and other factors. Securities sold or redeemed prior to maturity may be subject to a substantial gain or loss. In general, the bond market is volatile as prices rise when interest rates fall and vice versa. Vehicles that invest in lower-rated debt securities (commonly referred to as junk bonds) involve additional risks because of the lower credit quality of the securities in the portfolio. The investor should be aware of the possible higher level of volatility, and increased risk of default.

International investing involves special risks not present with U.S. investments due to factors such as increased volatility, currency fluctuation, and differences in auditing and other financial standards. These risks can be accentuated in emerging markets.

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This communication is intended for individuals residing in the states of AZ, CA, CO, CT, DC, FL, GA, MA, MD, NC, NH, NJ, NV, NY, OH, OR, PA, RI, SC, TX, VA, VT . No offers may be made or accepted from any resident outside the specific state(s) referenced.

Investments in securities involve risk, including the potential loss of principal invested.
No offers may be made or accepted from any resident outside the specific state(s) referenced.

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The Partners

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