Carlos R. Cabana

CASTLEOAK SECURITIES, LP

NEW YORK, NY 10281

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CRD#: 2243792

Professional summary

Carlos Ricardo Cabana, who also goes by Carlos Ricardo Casbana, is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in New York, New York.

Carlos is registered as a RR (Registered Representative) and started their career in finance in 2008. Carlos has 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

Are you a "fiduciary"?

Aliases

Carlos Ricardo Casbana

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 Carlos Ricardo Cabana's 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

July 20, 2016 - Present

CASTLEOAK SECURITIES, LP

Office #1: 200 Vesey St. Fl 04, New York, NY 10281

CRD#: 125334

NEW YORK, NY

Past

November 4, 2013 - June 3, 2016

TOPEKA CAPITAL MARKETS INC.

CRD#: 154133

NEW YORK, NY

Past

October 24, 2012 - May 29, 2013

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

July 2, 2012 - October 17, 2012

VIRTU AMERICAS LLC

CRD#: 149823

JERSEY CITY, NJ

Past

April 8, 2008 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

March 31, 2008 - October 12, 2009

KNIGHT DIRECT LLC

CRD#: 135924

JERSEY CITY, NJ

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
(7/20/2016)

Tennessee
(3/31/2023)

Texas
(3/15/2023)

Exams

State Security Law Exam

Series 63

Date: 4/18/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/11/2009

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 7/3/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/28/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/4/2017

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CASTLEOAK SECURITIES, LP

BGC MARKETS, L.P. | GOLDROCK GROUP LLC | CASTLEOAK SECURITIES, LP

CRD#: 125334 / SEC#: , 8-65786

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

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Contact information

Main Address

200 Vesey Street Fl 04, New York, NY 10281

Mailing Address

200 Vesey St Fl 04, New York, NY 10281

Phone number

(646) 521-6700

Established

Delaware since 07/01/2004

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

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.

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Advisor Monitoring

Firm Stability Insights

Carlos R. Cabana

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carlos Ricardo Cabana's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOPEKA CAPITAL MARKETS INC.

CANTOR FITZGERALD & CO.

VIRTU AMERICAS LLC

KNIGHT CAPITAL AMERICAS, L.P.

KNIGHT DIRECT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/18/2008

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 11/11/2009

Series 3

Date: 7/3/2008

Series 7

Date: 3/28/2008

Series 24

Date: 8/4/2017

FINRA

Current Firm

CASTLEOAK SECURITIES, LP

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CASTLEOAK SECURITIES, LP

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