Carlos R. Cabana
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 Ricardo Cabana, who also goes by Carlos Ricardo Casbana, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2008. Carlos had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2016 - April 7, 2026
CASTLEOAK SECURITIES, LP
November 4, 2013 - June 3, 2016
TOPEKA CAPITAL MARKETS INC.
October 24, 2012 - May 29, 2013
CANTOR FITZGERALD & CO.
July 2, 2012 - October 17, 2012
VIRTU AMERICAS LLC
April 8, 2008 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
March 31, 2008 - October 12, 2009
KNIGHT DIRECT LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/11/2009
Limited Representative-Equity Trader ExamCurrent Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 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.
