Carlos A. Fuentes
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 Arthur Fuentes, who also goes by Charles Fuentes, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1983. Carlos had worked at 9 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2000 - April 16, 2001
ROBERT VAN SECURITIES, INC.
June 9, 1993 - August 27, 1998
CHARLES SCHWAB & CO., INC.
November 30, 1992 - January 1, 1993
INVEST FINANCIAL CORPORATION
July 3, 1991 - August 25, 1992
AMERIPRISE ADVISOR SERVICES, INC.
December 11, 1989 - May 16, 1990
PRUDENTIAL EQUITY GROUP, LLC
February 8, 1989 - June 28, 1989
THOMAS GREEN SECURITIES, INC.
July 15, 1988 - January 1, 1989
DICKINSON & CO.
December 8, 1986 - January 1, 1989
DICKINSON & CO.
August 24, 1983 - September 12, 1983
BOARDWALK CAPITAL CORPORATION
August 24, 1983 - November 28, 1986
THOMSON MCKINNON SECURITIES 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
Series 8
Date: 9/8/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ROBERT VAN SECURITIES, INC.
CRD#: 29581 / SEC#: , 8-44411
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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