Carlos E. Figueroa
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 Enrique Figueroa, who also goes by Charlie Enrique Figueroa, Charlie Figueroa, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1997. Carlos had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2013 - December 20, 2021
COLONIAL SECURITIES, INC.
March 9, 2004 - November 18, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
October 6, 2002 - January 30, 2004
E-W INVESTMENTS, INC.
November 20, 1998 - February 19, 1999
ROYAL HUTTON SECURITIES CORP.
June 30, 1998 - October 28, 1998
PHD CAPITAL
April 15, 1998 - July 6, 1998
INTERNATIONAL BOND AND SHARE, INC.
September 25, 1997 - December 15, 1997
ROYAL HUTTON SECURITIES CORP.
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
Series 55
Date: 4/9/2004
Limited Representative-Equity Trader ExamCurrent Firm
COLONIAL SECURITIES, INC.
CRD#: 3013 / SEC#: , 8-17631
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 11 |
Red Flags
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