Carlos A. Sanchez
Professional summary
Carlos A Sanchez is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in New York, New York.
Carlos is registered as a RR (Registered Representative) and started their career in finance in 1989. Carlos has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carlos A Sanchez's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 2007 - Present
CASTLEOAK SECURITIES, LP
Office #1: 200 Vesey St. Fl 04, New York, NY 10281October 24, 2006 - March 16, 2007
UTENDAHL CAPITAL GROUP, LLC
June 26, 1998 - March 16, 2007
UTENDAHL CAPITAL PARTNERS, L.P.
March 21, 1989 - June 11, 1998
PERSHING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/2/2007)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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