Carlos Reisen
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 Reisen JR, who also goes by Carl Reisen Jr, Carlos Jr Reisen, Carlos Reisen, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1985. Carlos had worked at 11 firms and has passed the Series 65, Series 63, Series 3, 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
November 15, 2012 - July 21, 2015
CERITY PARTNERS OCIO LLC
October 27, 2010 - March 2, 2012
ALLSTATE FINANCIAL ADVISORS, LLC
October 12, 2010 - March 2, 2012
ALLSTATE FINANCIAL SERVICES, LLC
August 11, 2008 - November 3, 2010
ASCENT ADVISORS, LLC
July 29, 2008 - October 31, 2008
USF ALTERNATIVE SERVICES, LLC
July 29, 2008 - October 31, 2008
USF ADVISORS, LLC
July 28, 2008 - October 31, 2008
USF SECURITIES, L.P.
November 30, 2004 - April 23, 2008
J.J.B. HILLIARD, W.L. LYONS, LLC
November 19, 2004 - April 23, 2008
J.J.B. HILLIARD, W.L. LYONS, LLC
November 27, 2000 - November 29, 2004
LEGG MASON WOOD WALKER, INCORPORATED
July 8, 1998 - November 29, 2004
LEGG MASON WOOD WALKER, INCORPORATED
March 19, 1990 - June 24, 1998
PRUDENTIAL EQUITY GROUP, LLC
January 23, 1985 - March 21, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CERITY PARTNERS OCIO LLC
CRD#: 151916 / SEC#: 801-70888
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: 7/2/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CERITY PARTNERS OCIO LLC
CRD#: 151916 / SEC#: 801-70888
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 50 |
| AUM (Assets Under Management) | $ 17,346,720,716 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/09/2025 | ||
| 05/04/2023 | ||
| 01/26/2023 |
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.
