Carlito R. Cabelin
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.
Carlito Rosario Cabelin, who also goes by Carl Cabelin, Carlito R Cabelin, Carlito Cabelin, was a registered financial professional .
Carlito is a previously registered financial professional and started their career in finance in 1995. Carlito had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE 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
August 25, 2021 - November 18, 2021
FIRST REPUBLIC SECURITIES COMPANY, LLC
August 27, 2020 - August 26, 2021
PFS INVESTMENTS INC.
July 15, 2013 - September 4, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - June 29, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 20, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 26, 2005 - January 12, 2006
CHASE INVESTMENT SERVICES CORP.
January 25, 2005 - January 12, 2006
CHASE INVESTMENT SERVICES CORP.
March 17, 2003 - December 31, 2004
CHASE INVESTMENT SERVICES CORP.
February 11, 2002 - February 28, 2003
CITICORP INVESTMENT SERVICES
December 3, 1998 - December 11, 2001
CITIGROUP GLOBAL MARKETS INC.
August 26, 1997 - November 24, 1998
PERSHING LLC
April 3, 1996 - September 4, 1997
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
December 13, 1995 - February 13, 1996
MORGAN STANLEY DW 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 7TO
Date: 1/25/2024
General Securities Representative ExaminationCurrent Firm
FIRST REPUBLIC SECURITIES COMPANY, LLC
CRD#: 105108 / SEC#: 801-71759, 8-52973
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JP MORGAN CHASE BANK, NATIONAL ASSOCIATION | STOCKHOLDER | |
| BURGE, ANDREW C | DIRECTOR | 5619554 |
| GENTIN, NICOLAS ROBIN | DIRECTOR | 2723366 |
| HERRON, MICHAEL ROBERT | OFFICER | 2692410 |
| HONG, AMY | DIRECTOR | 4259934 |
| LEE, HYUNJOO | FINOP | 7074361 |
| MARTINEZ, MARK CAESAR | REGISTERED OPTIONS PRINCIPAL (ROP) | 2870632 |
| TATEOSIAN, DAVID CHARLES | PRESIDENT AND DIRECTOR | 1605404 |
| THORNTON, ROBERT LEE JR | DIRECTOR | 1412949 |
| WEITGENANT, DAVID ANDREW | CHIEF COMPLIANCE OFFICER | MSRB PRINCIPAL | 2096196 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
