Carlos H. Gamez
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 Humberto Gamez was a registered financial advisor .
Carlos is a previously registered financial advisor and started their career in finance in 1994. Carlos had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2002 - August 12, 2003
ESSEX NATIONAL SECURITIES, LLC
October 20, 1999 - November 8, 2002
A. G. EDWARDS & SONS, INC.
October 20, 1999 - November 8, 2002
A. G. EDWARDS & SONS, INC.
March 27, 1998 - October 19, 1999
MPI FINANCIAL
January 2, 1997 - April 1, 1998
QUANTUM CAPITAL CORPORATION
April 7, 1995 - January 27, 1997
THE HAMILTON-SHEA GROUP, INC.
October 13, 1994 - April 5, 1995
OMNI FINANCIAL 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
ESSEX NATIONAL SECURITIES, LLC
CRD#: 25454 / SEC#: 801-70990, 8-41750
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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