Carlos A. Galarraga
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 Galarraga, who also goes by Carlos Vernet, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1996. Carlos had worked at 6 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 5, 2016 - March 24, 2022
PAR5 CAPITAL & CO LLC
April 30, 2008 - April 4, 2016
WHITAKER SECURITIES LLC
December 5, 2000 - May 5, 2008
SEABOARD SECURITIES, INC.
August 25, 1999 - November 3, 2000
CANTOR FITZGERALD SECURITIES
August 24, 1999 - November 3, 2000
MINT BROKERS
September 25, 1996 - August 24, 1999
TP ICAP GLOBAL MARKETS AMERICAS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PAR5 CAPITAL & CO LLC
CRD#: 134657 / SEC#: , 8-66850
Contact information
FINRA licenses (11 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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