Carlos J. Defreitas
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 Joseph Defreitas, who also goes by Carl Joseph Defreitas, Carl Defreitas, Carlos Defreitas, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1992. Carlos had worked at 4 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2025 - March 5, 2026
ROUNDANGLE ADVISORS LLC
January 30, 2023 - December 12, 2024
ROUNDANGLE ADVISORS LLC
April 19, 1994 - December 31, 1995
PRIME CAPITAL SERVICES, INC.
November 13, 1992 - December 14, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 13, 1992 - December 14, 1993
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
ROUNDANGLE ADVISORS LLC
CRD#: 282178 / SEC#: 801-107449
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROUNDANGLE ADVISORS LLC
CRD#: 282178 / SEC#: 801-107449
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 387 |
| AUM (Assets Under Management) | $ 176,507,139 |
Red Flags
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