Carlos Aldavero
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 Aldavero, who also goes by Carlos Javier Aldavero Mora, Carlos Javier Aldavero-mora, Carlos Javier Aldaveroymora, Carlos Aldavero Mora, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1996. Carlos had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2024 - December 31, 2025
FUNDS DISTRIBUTOR, LLC
April 19, 2023 - June 15, 2023
DOMINARI SECURITIES LLC
April 19, 2023 - June 15, 2023
DOMINARI SECURITIES LLC
April 17, 2014 - August 15, 2022
MORGAN STANLEY
April 15, 2014 - August 15, 2022
MORGAN STANLEY
October 15, 2012 - April 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 13, 2012 - April 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 2011 - February 8, 2012
DENTE & BOMBA, LLC
April 23, 2008 - September 30, 2008
DEUTSCHE BANK SECURITIES INC.
April 19, 2007 - September 30, 2008
DEUTSCHE BANK SECURITIES INC.
September 17, 2003 - March 15, 2007
J.P. MORGAN SECURITIES LLC
January 3, 2003 - September 12, 2003
OPPENHEIMER & CO. INC.
January 5, 2000 - January 3, 2003
CIBC WORLD MARKETS CORP.
January 22, 1998 - January 10, 2000
CITIGROUP GLOBAL MARKETS INC.
January 10, 1997 - September 10, 1997
GRUNTAL & CO., L.L.C.
November 5, 1996 - December 23, 1996
BARRON CHASE 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
Current Firm
FUNDS DISTRIBUTOR, LLC
CRD#: 7174 / SEC#: , 8-20518
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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