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Carlos O. Cruz

ADELPHI STOCK BROKERS
New York, NY 10017
Some features on this profile are disabled
CRD#: 2484888
CC

Professional summary

Carlos Orlando Cruz is a registered financial professional currently at ADELPHI STOCK BROKERS located in New York, New York.

Carlos is registered as a RR (Registered Representative) and started their career in finance in 2018. Carlos has worked at 2 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Orlando Cruz'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

September 23, 2025 - Present

ADELPHI STOCK BROKERS

Office #1: 575 Fifth Av 8th Floor, New York, NY 10017
BD
CRD#: 309048
New York, NY
Past

March 28, 2018 - January 28, 2025

INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC

BD
CRD#: 131487
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 3/28/2018
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ADELPHI STOCK BROKERS
ADELPHI STOCK BROKERS | ADELPHI STOCK BROKERS INC.

CRD#: 309048 / SEC#: , 8-70519

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
40 Cornwall Lane, Sands Point, NY 11050
Mailing Address
40 Cornwall Lane, Sands Point, NY 11050
Phone number
(646) 479-1146
Established
Delaware since 01/24/2020
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ARMOUR, JOHNINVESTOR
SAMUEL, VICTOR THOPPILCEO2823668
CLARKE, SANDRA ELAINECHIEF COMPLIANCE OFFICER7607103
GEORGE, KENNETH RONALDFIN-OP2643369
OATES, JAMES JOSEPHCLEARANCE & SETTLEMENT MANAGER1193394

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.

Company Information

ADELPHI STOCK BROKERS

CRD#: 309048New York, NY 10017

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