Carlos M. Lassiter
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 Monrell Lassiter was a registered financial advisor .
Carlos is a previously registered financial advisor and started their career in finance in 2003. Carlos had worked at 6 firms and has passed the Series 63, Series 65 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 23, 2007 - June 9, 2008
PIONEER PORTFOLIO CORP.
August 8, 2006 - December 31, 2007
LCG FINANCIAL SERVICES, INC.
December 16, 2005 - December 5, 2006
CALTON & ASSOCIATES, INC.
March 3, 2004 - July 11, 2005
MERRIMAC CORPORATE SECURITIES, INC.
December 9, 2003 - July 15, 2004
ASSET MANAGEMENT STRATEGIES, L.L.C.
August 5, 2003 - September 18, 2003
GUNNALLEN FINANCIAL, INC
March 19, 2003 - September 18, 2003
GUNNALLEN FINANCIAL, 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
PIONEER PORTFOLIO CORP.
CRD#: 17817 / SEC#: , 8-35899
Contact information
Documents
Disclosures
| Arbitration | 1 |
Red Flags
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