Carlos Rosso
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 Rosso, who also goes by Carlos Moreno Rosso, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2001. Carlos had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2013 - September 7, 2016
DRIVEWEALTH INSTITUTIONAL LLC
March 12, 2012 - March 13, 2013
INTE SECURITIES LLC
April 7, 2010 - September 21, 2010
NOMURA SECURITIES NORTH AMERICA, LLC
October 17, 2008 - December 5, 2011
NOMURA SECURITIES INTERNATIONAL, INC.
November 8, 2001 - November 1, 2006
COMMERZ MARKETS 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
Current Firm
DRIVEWEALTH INSTITUTIONAL LLC
CRD#: 33038 / SEC#: , 8-31461
Contact information
FINRA licenses (32 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRIVEWEALTH HOLDINGS INC. | SOLE MEMBER | |
| BLANGIARDO, ALESSIO | FINANCIAL & OPERATIONS PRINCIPAL | 5600541 |
| ILARIO, ANTHONY | CHIEF OPERATING OFFICER | 2262100 |
| MADARASZ, RONALD JOHN | SENIOR MANAGER, INSTITUTIONAL SALES & TRADING | 1769473 |
| METZGER, BARRY SCOTT | CHIEF EXECUTIVE OFFICER | 4719211 |
| POND, ERIC | ROSFP | 6069469 |
| QUINONES, VINCENT JOSEPH | HEAD OF EXECUTION SERVICES | 4308610 |
| TZANETEAS, ALEC MICHAEL | CHIEF COMPLIANCE OFFICER | 6983736 |
Disclosures
| Regulatory Event | 3 |
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.
