Carlos E. Abad
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 E Abad was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2008. Carlos had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
May 13, 2014 - December 31, 2017
WORLD INVESTMENTS, LLC
May 12, 2014 - December 31, 2017
WORLD INVESTMENTS, LLC
July 13, 2012 - May 15, 2014
SECURITIES AMERICA ADVISORS, INC.
September 29, 2011 - September 7, 2012
EXECUTIVE COMPENSATION PLANNERS, INC.
November 17, 2010 - May 15, 2014
SECURITIES AMERICA, INC.
January 22, 2010 - November 16, 2010
NPA ASSET MANAGEMENT, LLC
June 9, 2009 - November 16, 2010
ABRAMENKO & COMPANY, INC.
May 22, 2008 - June 19, 2009
DAVID LERNER ASSOCIATES, 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
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 1 |
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.
