Jose A. Carbajal
Professional summary
Jose A Carbajal was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jose is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Jose had worked at 6 firms, which includes BMA SECURITIES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, BANC OF AMERICA INVESTMENT SERVICES INC., CITICORP INVESTMENT SERVICES, CAL FED INVESTMENTS, INVEST FINANCIAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2013 - October 8, 2013
BMA SECURITIES, LLC
October 23, 2009 - July 30, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - July 30, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 5, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 5, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 9, 2005 - April 16, 2007
CITICORP INVESTMENT SERVICES
February 5, 2003 - April 16, 2007
CITICORP INVESTMENT SERVICES
January 31, 1997 - February 5, 2003
CAL FED INVESTMENTS
February 12, 1996 - January 31, 1997
INVEST FINANCIAL CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
BMA SECURITIES, LLC
CRD#: 108219 / SEC#: , 8-53073
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
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