Carey F. Lathrop

APOLLO GLOBAL SECURITIES

New York, NY 10036

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CRD#: 1894537

Professional summary

Carey Franklin Lathrop is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in New York, New York.

Carey is registered as a RR (Registered Representative) and started their career in finance in 1988. Carey has worked at 3 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 3, Series 7, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carey Franklin Lathrop's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 1, 2023 - Present

APOLLO GLOBAL SECURITIES, LLC

Office #1: 151 W 42nd Street 5th Floor, New York, NY 10036

CRD#: 153502

New York, NY

Past

November 28, 1997 - June 17, 2022

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 23, 1988 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(2/1/2023)

Exams

State Security Law Exam

Series 63

Date: 12/2/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/24/2008

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 11/29/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/19/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 5/8/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

APOLLO GLOBAL SECURITIES, LLC

AP CM, LLC | ATLAS SP SECURITIES | APOLLO GLOBAL SECURITIES, LLC

CRD#: 153502 / SEC#: , 8-68542

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

9 West 57th Street, New York, NY 10019-2701

Mailing Address

9 West 57th Street, New York, NY 10019-2701

Phone number

(212) 515-3200

Established

Delaware since 03/11/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
APOLLO MANAGEMENT HOLDINGS, L.P.	MEMBER
CHATTERJEE, WHITNEY A	MEMBER BOARD OFMANAGERS	7874808
DRESCHER, STEPHANIE	HEAD OF MARKETING	3055145
LEVY, YAEL KENAN	CHIEF COMPLIANCE OFFICER	4435788
NEEDLEMAN, ERIC DAVID	PRESIDENT	2773431
TREBING, ADAM P	CFO / FINOP / PFO / POO	5828238
TREBING, ADAM P	MEMBER BOARD OF MANAGERS	5828238

Red Flags

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Carey F. Lathrop

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carey Franklin Lathrop's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/2/1988

Series 57TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/24/2008

Series 3

Date: 11/29/1988

Series 7

Date: 11/19/1988

Series 10

Date: 1/2/2023

Series 24

Date: 5/8/2000

FINRA

Current Firm

APOLLO GLOBAL SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

APOLLO GLOBAL SECURITIES, LLC

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