Carlos A. Cruz
Professional summary
Carlos A Cruz, who also goes by Carlos Alberto Cruz, Carlos Alberto Cruz Monge, is a registered financial professional currently at INSIGNEO SECURITIES, LLC located in San Juan, .
Carlos is registered as a RR (Registered Representative) and started their career in finance in 1999. Carlos has worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carlos A Cruz's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 9, 2018 - Present
INSIGNEO SECURITIES, LLC
Office #1: 235 Federico Costa St. Parque Las Americas, Suite 101, San Juan, PR 00918April 29, 2011 - April 3, 2018
SANTANDER SECURITIES LLC
April 28, 2011 - April 3, 2018
SANTANDER SECURITIES LLC
November 20, 2008 - October 15, 2010
ANDES CAPITAL GROUP, LLC
June 9, 2008 - December 31, 2008
EUROBANK TRUST & WEALTH MANAGEMENT GROUP
September 23, 2003 - February 12, 2007
CITIGROUP GLOBAL MARKETS PUERTO RICO INC.
September 18, 2003 - April 7, 2008
CITIGROUP GLOBAL MARKETS INC.
October 2, 2000 - July 30, 2003
CHARLES SCHWAB & CO., INC.
September 14, 1999 - September 5, 2000
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/9/2018)
(4/9/2018)
(4/9/2018)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
INSIGNEO SECURITIES, LLC
CRD#: 29249 / SEC#: , 8-44166
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL GROUP LLC | MEMBER - CLASS A | |
| INSIGNEO PUERTO RICO PARTNERSHIP HOLDINGS LLC | MEMBER - CLASS B | |
| INSIGNEO SECURITIES PARTNERSHIP HOLDINGS LLC | MEMBER - CLASS B | |
| ARANA LANDAETA, MARIELA CECILIA | HEAD OF CLIENT EXPERIENCE | 4830220 |
| ARNETT, GEORGE WASHINGTON III | GENERAL COUNSEL AND DIRECTOR | 1057806 |
| AVERETT, MICHAEL ROBERT | CHIEF REVENUE OFFICER | 5311774 |
| CANINO QUINONES, LIZMARI | HEAD OF SALES SUPERVISION | 6007866 |
| CAULFIELD, JUSTIN PAUL SR | CHIEF COMPLIANCE OFFICER | 5699024 |
| CEDENO, CLAUDIA | BSA | AML OFFICER | 5235772 |
| CHUANG, ERIC C | REGULATORY AFFAIRS OFFICER | 3215724 |
| EFFIO, TAMARIND | BUSINESS DEVELOPMENT OFFICER | 7255243 |
| HENRIQUEZ, RAUL JR | CHAIRMAN OF THE BOARD | 1647412 |
| NUNEZ, FRANCISCO | DIRECTOR | 8017439 |
| POLEMENI PEREZ, MONICA | PRINCIPAL OPERATIONS OFFICER | 4130068 |
| RIESGO, AHMED | CHIEF INVESTMENT OFFICER | 5020318 |
| RIVERA CRUZ, MIGUEL ANGEL | CHIEF ACCOUNTING OFFICER / PRINCIPAL FINANCIAL OFFICER | 3255902 |
| RIVERO, JAVIER | PRESIDENT, CHIEF OPERATING OFFICER AND DIRECTOR | 4498023 |
| WATSON, CHRISTIAN PIERCE | HEAD OF TRADING | 4917370 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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