Carlos F. Chavez
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 Francisco Chavez, who also goes by Carlos Francisco Chavez, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1987. Carlos had worked at 12 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9 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 19, 2025 - September 1, 2025
FIDELITY BROKERAGE SERVICES LLC
October 3, 2024 - January 22, 2025
BALANZ CAPITAL USA LLC
September 8, 2023 - January 22, 2025
BALANZ
July 15, 2022 - March 14, 2023
INSIGNEO ADVISORY SERVICES, LLC
June 2, 2022 - March 14, 2023
INSIGNEO SECURITIES, LLC
November 14, 2013 - June 7, 2022
WELLS FARGO CLEARING SERVICES, LLC
November 12, 2013 - June 7, 2022
WELLS FARGO CLEARING SERVICES, LLC
September 19, 2011 - October 29, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 2011 - October 29, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - September 13, 2011
MORGAN STANLEY
June 1, 2009 - September 13, 2011
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 17, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
August 16, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
April 7, 2006 - June 26, 2006
UBS INTERNATIONAL INC.
April 5, 2006 - June 26, 2006
UBS INTERNATIONAL INC.
September 2, 1993 - January 11, 2006
CHARLES SCHWAB & CO., INC.
August 30, 1993 - January 11, 2006
CHARLES SCHWAB & CO., INC.
March 24, 1987 - April 6, 1993
CHARLES SCHWAB & CO., 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 99TO
Date: 11/4/2024
Operations Professional ExaminationSeries 8
Date: 9/23/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
