Carlos J. Perez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carlos Jesus Perez, who also goes by Carlos J Pereziraeta, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1983. Carlos had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 1999 - April 4, 2000
AMA SECURITIES LLC
May 18, 1996 - September 15, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 23, 1994 - May 29, 1996
CHASE INVESTMENT SERVICES CORP.
July 31, 1993 - July 22, 1994
CITIGROUP GLOBAL MARKETS INC.
April 13, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
March 23, 1983 - March 28, 1988
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMA SECURITIES LLC
CRD#: 45988 / SEC#: , 8-51263
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
