Carlos A. Cortez
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 Cortez, who also goes by Carlos Lombardi, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1994. Carlos had worked at 9 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2011 - July 10, 2012
ITB SECURITIES, LLC
May 25, 2010 - March 14, 2011
COWEN SECURITIES LLC
October 25, 2007 - February 4, 2010
COWEN EXECUTION SERVICES LLC
October 22, 2007 - July 29, 2008
G-TRADE SERVICES LLC
August 29, 2000 - October 22, 2007
B-TRADE SERVICES LLC
May 13, 1999 - August 23, 2002
HUDSON SLOANE & CO., L.L.C.
July 27, 1998 - January 22, 1999
TULLETT & TOKYO SECURITIES, INC.
May 19, 1995 - June 16, 1998
BGC FINANCIAL, L.P.
June 7, 1994 - March 1, 1995
SERFIN SECURITIES,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
Series 55
Date: 9/12/2000
Limited Representative-Equity Trader ExamCurrent Firm
ITB SECURITIES, LLC
CRD#: 132665 / SEC#: , 8-66621
Contact information
Documents
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.
