Carlos A. Font
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 Alberto Font, who also goes by Carlos A Font, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1971. Carlos had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 15, PC, Series 1 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
January 15, 2015 - October 20, 2015
TRADEPRO SECURITIES, LLC.
January 3, 2003 - February 19, 2013
OPPENHEIMER & CO. INC.
January 12, 2001 - January 3, 2003
CIBC WORLD MARKETS CORP.
July 31, 1993 - January 22, 2001
CITIGROUP GLOBAL MARKETS INC.
June 3, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
February 22, 1988 - June 3, 1991
MORGAN STANLEY DW INC.
October 31, 1978 - March 9, 1988
THOMSON MCKINNON SECURITIES INC.
April 1, 1977 - December 4, 1979
E. F. HUTTON & COMPANY INC
October 5, 1976 - May 18, 1977
BACHE HALSEY STUART INC.
November 21, 1975 - October 11, 1976
A. G. EDWARDS & SONS, INC.
October 6, 1975 - January 4, 1976
LOEB RHOADES & CO
August 23, 1974 - November 10, 1975
EDWARDS & HANLY
July 9, 1971 - September 30, 1974
BACHE & CO INCORPORATED
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 5
Date: 7/8/1985
Interest Rate Options ExaminationSeries 15
Date: 11/22/1982
Foreign Currency Options ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 6/26/1971
Registered Representative ExaminationSeries 8
Date: 10/25/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRADEPRO SECURITIES, LLC.
CRD#: 103781 / SEC#: , 8-52282
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 5 |
Red Flags
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