Carlos A. Garza
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 Alejandro Garza, who also goes by Carlos Alejandro Garza Trevino, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1998. Carlos had worked at 4 firms and has passed the Series 63, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2012 - July 24, 2014
BOURSA INVESTMENTS
December 7, 2004 - November 30, 2010
BASE SECURITIES, LLC
April 26, 2002 - April 21, 2004
BANORTE SECURITIES INTERNATIONAL, LTD.
July 27, 1998 - February 19, 2002
IXE SECURITIES, LLC
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
BOURSA INVESTMENTS
CRD#: 152516 / SEC#: , 8-68457
Contact information
FINRA licenses (10 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HERNANDEZ, LEOVINO | OWNER | 5758783 |
| KATHLEEN MARY DOLAN DE NAVARRO, AS TRUSTEE OF THE BYPASS TRUST CREATED UNDER THE NAVARRO FAMILY TRUST DATED MARCH 6,1998. | OWNER | |
| MONDRAGON, JOSE | CEO | 2521391 |
| MONDRAGON, JUAN TISNADO | SECRETARY | 5079610 |
| VILLAGOMEZ, CARLOS FERNANDO | OWNER | 5022389 |
| MONDRAGON, JAIME | OWNER | 5758779 |
| BACHE, ALEJANDRA | CHIEF COMPLIANCE OFFICER, AMLCO PRIMARY | 5170457 |
| CASTANEDA, JAMES PETER | FINOP | 5984310 |
| DOLAN, KATHLEEN MARY | TRUSTEE | 7112807 |
Red Flags
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