Carlos A. Escobar
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 Andres Escobar, who also goes by Carl Andres, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2000. Carlos had worked at 10 firms and has passed the Series 63, SIE 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
April 2, 2013 - March 18, 2015
WINDSOR STREET CAPITAL, LP
September 20, 2011 - June 10, 2013
OBSIDIAN FINANCIAL GROUP, LLC
April 13, 2010 - August 3, 2011
BROOKVILLE CAPITAL PARTNERS
September 9, 2008 - May 13, 2009
GUNNALLEN FINANCIAL, INC
August 12, 2004 - April 7, 2005
DAWSON JAMES SECURITIES, INC.
September 15, 2003 - October 26, 2004
VIEWTRADE FINANCIAL
March 11, 2002 - November 26, 2002
STERLING FINANCIAL INVESTMENT GROUP, INC.
May 7, 2001 - October 8, 2001
SCHNEIDER SECURITIES, INC.
February 21, 2001 - March 13, 2001
EASTBROOK CAPITAL GROUP LLC
December 4, 2000 - February 7, 2001
HORNBLOWER & WEEKS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
Red Flags
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