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CL

Carlos A. Luna

CITIZENS JMP SECURITIES
SAN FRANCISCO, CA 94111
Some features on this profile are disabled
CRD#: 3267249
CL

Professional summary

Carlos Alessandro Luna, who also goes by Alex Luna, Carlos A Luna, is a registered financial professional currently at CITIZENS JMP SECURITIES, LLC located in San Francisco, California.

Carlos is registered as a RR (Registered Representative) and started their career in finance in 1999. Carlos has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex Luna | Carlos A Luna

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carlos Alessandro Luna's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 5, 2025 - Present

CITIZENS JMP SECURITIES, LLC

Office #1: 101 California Street Suite 1700, San Francisco, CA 94111
BD
CRD#: 22208
SAN FRANCISCO, CA
Past

September 29, 2023 - January 12, 2025

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
San Francisco, CA
Past

October 20, 2016 - September 29, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

BD
CRD#: 105108
San Francisco, CA
Past

October 22, 2013 - August 31, 2016

FANTEX BROKERAGE SERVICES, LLC

BD
CRD#: 164783
SAN FRANCISCO, CA
Past

December 13, 1999 - October 25, 2013

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(11/5/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/25/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/10/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/25/2002
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/18/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/13/2002
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/6/2001
Registered Options Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CJ
CITIZENS JMP SECURITIES, LLC
CITIZENS | TRINITY CAPITAL | MITCHUM, JONES & TEMPLETON, INC. | JOLSON MERCHANT PARTNERS | JMP SECURITIES LLC | JMP SECURITIES | DH CAPITAL | CITIZENS M&A ADVISORY | CITIZENS JMP SECURITIES, LLC | CITIZENS JMP | CITIZENS CAPITAL MARKETS & ADVISORY | CITIZENS CAPITAL MARKETS

CRD#: 22208 / SEC#: , 8-39613

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
PREMIUM
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Contact information

Main Address
101 California Street Ste 1700, San Francisco, CA 94111
Mailing Address
101 California Street Ste 1700, San Francisco, CA 94111
Phone number
(415) 835-8900
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JMP HOLDING LLCPARENT COMPANY
CONROY, WALTER IVORGENERAL COUNSEL6641487
GREGORY, JOHNPRESIDENT4600619
JACKSON, RAYMOND SIVACHIEF FINANCIAL OFFICER5563363
MCLAUGHLIN, BRENDANCHIEF COMPLIANCE OFFICER2562815
O'DAY, JAMES CORTLANDHEAD OF EQUITIES5618215
PITARRESI, JOHN CHARLESSENIOR REGISTERED OPTIONS PRINCIPAL (SROP)2064758
SLADER, GAVIN WILLEYHEAD OF INVESTMENT BANKING4130019
SPURR, JEFFREY HOLMESHEAD OF RESEARCH1384716
SUCHY, GREGORY JOHNCHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER5907019
WHITEHEAD, AIDAN PETERHEAD OF TRADING & SALES TRADING2474257
XIAO, ZHUO VIVIAN XUANFINOP5121578

Disclosures

Regulatory Event6

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.

Company Information

CITIZENS JMP SECURITIES, LLC

CRD#: 22208San Francisco, CA 94111

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