Luis A. Carlo

WEDBUSH SECURITIES

New York, NY 10019

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CRD#: 2933882

Professional summary

Luis Andres Carlo is a registered financial professional currently at WEDBUSH SECURITIES INC. located in New York, New York.

Luis is registered as a RR (Registered Representative) and started their career in finance in 1997. Luis has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Luis Andres Carlo's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 23, 2012 - Present

WEDBUSH SECURITIES INC.

Office #1: 142 West 57th Street 12th Floor, New York, NY 10019

RIA

CRD#: 877

New York, NY

Past

April 13, 2004 - May 8, 2012

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

June 18, 1998 - December 9, 2002

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

MIAMI, FL

Past

June 8, 1998 - December 9, 2002

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

October 2, 1997 - June 8, 1998

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEDBUSH SECURITIES INC.

WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW

CRD#: 877 / SEC#: 801-6358, 8-12987

RIA

Registered Investment Advisory firm - SEC (2/27/1970 Approved)

California

Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(5/8/2025)

Alaska
(5/8/2025)

Arizona
(5/8/2025)

Arkansas
(5/8/2025)

California
(7/9/2021)

Colorado
(2/4/2022)

Connecticut
(7/9/2021)

Delaware
(2/4/2022)

District of Columbia
(7/2/2024)

Florida
(7/14/2021)

Georgia
(1/6/2023)

Hawaii
(5/8/2025)

Idaho
(5/8/2025)

Illinois
(4/7/2022)

Indiana
(5/8/2025)

Iowa
(5/8/2025)

Kansas
(5/8/2025)

Kentucky
(5/8/2025)

Louisiana
(5/8/2025)

Maine
(5/8/2025)

Maryland
(7/2/2024)

Massachusetts
(2/4/2022)

Michigan
(5/8/2025)

Minnesota
(5/8/2025)

Mississippi
(5/8/2025)

Missouri
(5/8/2025)

Montana
(5/8/2025)

Nebraska
(5/8/2025)

Nevada
(4/18/2022)

New Hampshire
(5/8/2025)

New Jersey
(2/4/2022)

New Mexico
(5/8/2025)

New York
(10/23/2012)

North Carolina
(7/3/2024)

North Dakota
(5/8/2025)

Ohio
(7/9/2021)

Oklahoma
(5/8/2025)

Oregon
(7/2/2024)

Pennsylvania
(7/2/2024)

Puerto Rico
(2/4/2022)

Rhode Island
(5/8/2025)

South Carolina
(5/8/2025)

South Dakota
(5/8/2025)

Tennessee
(5/8/2025)

Texas
(5/8/2025)

Utah
(7/2/2024)

Vermont
(5/8/2025)

Virginia
(7/2/2024)

Washington
(5/8/2025)

West Virginia
(5/8/2025)

Wisconsin
(5/8/2025)

Wyoming
(5/8/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/17/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/8/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/1/1997

General Securities Representative Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

MIAX Sapphire

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

WEDBUSH SECURITIES INC.

WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW

CRD#: 877 / SEC#: 801-6358, 8-12987

RIA

Registered Investment Advisory firm - SEC (2/27/1970 Approved)

California

Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

225 S. Lake Ave Penthouse 225 S. Lake Ave Penthouse, Pasadena, CA 91101

Mailing Address

225 S. Lake Ave Penthouse Attn: Compliance, Pasadena, CA 91101

Phone number

(213) 688-8000

Established

California since 07/08/1966

Firm type

Corporation

Fiscal year end

June

Firm Size

Large

# of Employees

897

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WEDBUSH SECURITIES INC. FORM ADV PART 2A (10/13/2025)

WEDBUSH SECURITIES INC. FORM ADV PART 2A APPENDIX OF FORM 1 ADV WRAP FEE (10/13/2025)

Direct owners and executive officers

Name	Position	CRD#
WEDBUSH FINANCIAL SERVICES, LLC	OWNER
BILLINGS, DANIEL ERIC	EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR	4568232
BLAND, GEOFFREY CONOR	DIRECTOR	7358773
DEMPSEY, FRANCIS BURKE	EXECUTIVE VICE PRESIDENT	2428325
DRUCH, ANDREW WALTER	EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR	1688071
FITZSIMMONS, ROBERT GERARD	EXECUTIVE VICE PRESIDENT	1878661
FRAUNCES, KIRSTEN CAMPBELL	EXECUTIVE VICE PRESIDENT	2933930
HULTGREN, DONALD WAYNE	EXECUTIVE CHAIR, DIRECTOR	1475369
MONE, CHRISTOPHER MICHAEL	EXECUTIVE VICE PRESIDENT	2401952
PARRODE, RODRIGO NMN	EVP, CHIEF OPERATING OFFICER	4905345
PASET, ROBERT EDWARD	EXECUTIVE VICE PRESIDENT	1055902
PRESTON, ERIN KATHLEEN	CHIEF COMPLIANCE OFFICER	5314250
WEDBUSH, GARY LANCE	PRESIDENT, DIRECTOR	2234455

Regulatory assets under management

Total Number of Accounts	10,048
AUM (Assets Under Management)	$ 5,684,848,455

Disclosures

Regulatory Event	147
Civil Event	3
Arbitration	60
Bond	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2024	Cover Page	Report
04/26/2024	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Firm Stability Insights

Luis A. Carlo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Luis Andres Carlo's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

COWEN AND COMPANY

Primary Firm SEC Registration

WEDBUSH SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/17/2001

Series 63

Date: 9/8/1997

SIE

Date: 10/1/2018

Series 7

Date: 10/1/1997

BOX Exchange LLC

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe C2 Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

MIAX Sapphire

Miami International Securities Exchange, LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE Texas, Inc.

Nasdaq BX, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

WEDBUSH SECURITIES INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

WEDBUSH SECURITIES INC.

TRUST BUT VERIFY

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