Fermin Caro Del Castillo Adan
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.
Fermin Caro Del Castillo Adan, who also goes by Fermin Caro Del Castillo Jr, Fermin Carodelcastillo Jr, Fermin Carodelcastillo, was a registered financial professional .
Fermin is a previously registered financial professional and started their career in finance in 1999. Fermin had worked at 4 firms and has passed the Series 63, SIE, Series 79TO, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2020 - October 13, 2025
COMCAP HOLDINGS LLC
September 3, 2007 - December 31, 2008
CREDIT SUISSE SECURITIES (USA) LLC
September 22, 1999 - December 31, 2000
MUTUAL SERVICE CORPORATION
July 19, 1999 - September 16, 1999
NYLIFE SECURITIES 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
Exams
Series 79TO
Date: 6/11/2019
Investment Banking Registered Representative ExaminationCurrent Firm
COMCAP HOLDINGS LLC
CRD#: 283514 / SEC#: , 8-69759
Contact information
FINRA licenses (3 States and Territories)
Documents
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.
