Carlos Aldavero

FUNDS DISTRIBUTOR

Portland, ME 04101

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CRD#: 2509117

Professional summary

Carlos Aldavero, who also goes by Carlos Javier Aldavero Mora, Carlos Javier Aldavero-mora, Carlos Javier Aldaveroymora, Carlos Aldavero Mora, is a registered financial professional currently at FUNDS DISTRIBUTOR, LLC located in Portland, Maine.

Carlos is registered as a RR (Registered Representative) and started their career in finance in 1996. Carlos has 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

Are you a "fiduciary"?

Aliases

Carlos Javier Aldavero Mora | Carlos Javier Aldavero-Mora | Carlos Javier Aldaveroymora | Carlos Aldavero Mora

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.

Dominari Financial Inc. - Non-Investment Related, 725 5th Avenue, 23rd Floor, New York, NY 10022 (212) __________, President; Parent Company of Dominari Securities LLC., Hours/Week - Hours/During Trading Time -

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carlos Aldavero's CRS (Customer Relationship Summary).

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

February 8, 2024 - Present

FUNDS DISTRIBUTOR, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

CRD#: 7174

Portland, ME

Past

April 19, 2023 - June 15, 2023

DOMINARI SECURITIES LLC

RIA

CRD#: 18975

NEW YORK, NY

Past

April 19, 2023 - June 15, 2023

DOMINARI SECURITIES LLC

CRD#: 18975

NEW YORK, NY

Past

April 17, 2014 - August 15, 2022

MORGAN STANLEY

RIA

CRD#: 149777

New York, NY

Past

April 15, 2014 - August 15, 2022

MORGAN STANLEY

CRD#: 149777

New York, NY

Past

October 15, 2012 - April 2, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

September 13, 2012 - April 2, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 2, 2011 - February 8, 2012

DENTE & BOMBA, LLC

CRD#: 141520

NEW YORK, NY

Past

April 23, 2008 - September 30, 2008

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

NEW YORK, NY

Past

April 19, 2007 - September 30, 2008

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 17, 2003 - March 15, 2007

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

January 3, 2003 - September 12, 2003

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

January 5, 2000 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

January 22, 1998 - January 10, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 10, 1997 - September 10, 1997

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

November 5, 1996 - December 23, 1996

BARRON CHASE SECURITIES, INC.

CRD#: 18969

BOCA RATON, FL

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(2/13/2024)

Florida
(2/12/2024)

Massachusetts
(2/13/2024)

New Jersey
(2/12/2024)

New York
(2/8/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 10/11/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/5/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/23/2004

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/4/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 10/27/2014

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 8/25/2014

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

Current Firm

FUNDS DISTRIBUTOR, LLC

FUNDS DISTRIBUTOR, INC. | THE BOSTON COMPANY CAPITAL GROUP, INC. | TBC FUNDS DISTRIBUTOR, INC. | FUNDS DISTRIBUTOR, LLC

CRD#: 7174 / SEC#: , 8-20518

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

190 Middle Street Suite 301, Portland, ME 04101

Mailing Address

190 Middle Street Suite 301, Portland, ME 04101

Phone number

(866) 251-6920

Established

Delaware since 01/01/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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.

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Advisor Monitoring

Firm Stability Insights

Carlos Aldavero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carlos Aldavero's CRS (Customer Relationship Summary).

Certified licenses

Experience

DOMINARI SECURITIES LLC

DOMINARI SECURITIES LLC

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

DENTE & BOMBA, LLC

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

J.P. MORGAN SECURITIES LLC

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

CITIGROUP GLOBAL MARKETS INC.

GRUNTAL & CO., L.L.C.

BARRON CHASE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/11/2012

Series 63

Date: 2/5/1997

SIE

Date: 10/1/2018

Series 3

Date: 8/23/2004

Series 7

Date: 11/4/1996

Series 9

Date: 10/27/2014

Series 10

Date: 8/25/2014

FINRA

Current Firm

FUNDS DISTRIBUTOR, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FUNDS DISTRIBUTOR, LLC

TRUST BUT VERIFY

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