Carlos E. Rijo
Professional summary
Carlos E Rijo, who also goes by Carlos Ernesto Rijo, is a registered financial professional currently at INTESA SANPAOLO IMI SECURITIES CORP. located in New York, New York.
Carlos is registered as a RR (Registered Representative) and started their career in finance in 2006. Carlos has worked at 7 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carlos E Rijo's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 10, 2023 - Present
INTESA SANPAOLO IMI SECURITIES CORP.
Office #1: 1 William Street, New York, NY 10004April 25, 2022 - August 3, 2023
BRADESCO SECURITIES, INC.
July 2, 2020 - April 5, 2022
CITIGROUP GLOBAL MARKETS INC.
May 31, 2018 - June 30, 2020
BARCLAYS CAPITAL INC.
December 5, 2016 - June 20, 2018
CREDIT SUISSE SECURITIES (USA) LLC
January 25, 2011 - November 9, 2016
BBVA SECURITIES INC.
January 18, 2006 - July 10, 2006
PORTIGON SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/10/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
New York Stock Exchange
Current Firm
INTESA SANPAOLO IMI SECURITIES CORP.
CRD#: 19418 / SEC#: , 8-37444
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IMI CAPITAL MARKETS USA CORPORATION | SOLE SHAREHOLDER | |
| AMOROSO, PAOLO GLAUCO | CORPORATE SECRETARY | 7870609 |
| BURIOLI, NOVELLA | DIRECTOR | 7874990 |
| DIBELLA, VINCENT | CHIEF FINANCIAL OFFICER/ TREASURER | 2587408 |
| LUCCHINI, STEFANO | DIRECTOR | 7889772 |
| MARRAS, STEFANO | CEO/DIRECTOR | 7322813 |
| PARISI, RICHARD ANTHONY | CHIEF OPERATIONS OFFICER | 4668388 |
| RUIZ, JEFFREY A | CHIEF COMPLIANCE OFFICER | 2562825 |
| SEGNI, LAURA | DIRECTOR | 7890924 |
Disclosures
| Regulatory Event | 11 |
| Criminal | 1 |
| Civil Event | 1 |
Red Flags
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