Carlos A. Mayo
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 Alberto Mayo, who also goes by Carlos A Mayo, Charles Mayo, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1996. Carlos had worked at 10 firms and has passed the Series 63 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
February 4, 2005 - June 9, 2005
SUMMIT BROKERAGE SERVICES, INC.
April 26, 2004 - February 18, 2005
GUNNALLEN FINANCIAL, INC
February 22, 2002 - July 1, 2002
DPEC CAPITAL, INC.
May 1, 2001 - February 19, 2002
SOMERSET FINANCIAL GROUP, INC.
January 25, 2001 - May 4, 2001
HAPOALIM SECURITIES USA, INC.
March 10, 2000 - January 22, 2001
MONTROSE CAPITAL MANAGEMENT LTD.
June 2, 1999 - April 10, 2000
WEATHERLY SECURITIES CORPORATION
September 21, 1998 - June 1, 1999
BLUESTONE CAPITAL CORP.
June 26, 1998 - September 30, 1998
PRIME CHARTER LTD.
November 13, 1996 - June 16, 1998
BARINGTON CAPITAL GROUP, L.P.
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
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
