Carlo A. Nees
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.
Carlo Anthony Nees was a registered financial professional .
Carlo is a previously registered financial professional and started their career in finance in 1984. Carlo had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 1999 - October 19, 1999
BIRKELBACH INVESTMENT SECURITIES, INC.
December 4, 1998 - June 17, 1999
SHAMROCK PARTNERS, LTD
July 14, 1998 - October 26, 1998
BARRON CHASE SECURITIES, INC.
January 16, 1998 - June 25, 1998
CORNA SECURITIES, INC.
July 21, 1992 - February 23, 1995
MORGAN STANLEY DW INC.
August 28, 1990 - October 4, 1991
A. G. EDWARDS & SONS, INC.
October 11, 1988 - August 31, 1990
OPPENHEIMER & CO. INC.
September 24, 1984 - October 4, 1991
A. G. EDWARDS & SONS, 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
BIRKELBACH INVESTMENT SECURITIES, INC.
CRD#: 11490 / SEC#: , 8-22772
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARL MAX BIRKELBACH TRUST, | TRUST IS OWNER/SHAREHOLDER OF BD | |
| ZUREK, JAMES T | CCO-TEXAS/ROP | 824892 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
