Carmen Lugo
Professional summary
Carmen Lugo, who also goes by Carmen Olivares, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Carmen is registered as a RR (Registered Representative) and started their career in finance in 1993. Carmen has worked at 5 firms and has passed the Series 63, SIE, Series 99, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carmen Lugo's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2012 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017December 20, 2005 - January 5, 2006
SOLEIL SECURITIES CORPORATION
October 9, 2001 - January 3, 2006
FULCRUM GLOBAL PARTNERS LLC
January 14, 1994 - October 3, 2001
CANACCORD GENUITY SECURITIES LLC
June 10, 1993 - November 19, 1993
JOSEPHTHAL & 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
FINRA
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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