Jose A. Carabaza
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.
Jose Angel Carabaza, who also goes by Joe Carabaza, Jose A Carabaza, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1969. Jose had worked at 8 firms and has passed the Series 63, SIE, Series 5, Series 15, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2004 - May 17, 2016
UNION CAPITAL COMPANY
April 19, 1996 - September 28, 2004
LOMBARD SECURITIES INCORPORATED
July 31, 1993 - October 11, 1994
CITIGROUP GLOBAL MARKETS INC.
September 21, 1982 - July 31, 1993
LEHMAN BROTHERS INC.
September 16, 1977 - September 28, 1982
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
April 24, 1969 - February 27, 1976
BACHE & CO., INCORPORATED
Primary Firm SEC Registration
UNION CAPITAL COMPANY
CRD#: 110301 / SEC#: 801-121320, 8-53127
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 5
Date: 1/29/1988
Interest Rate Options ExaminationSeries 15
Date: 11/30/1983
Foreign Currency Options ExaminationPC
Date: 6/13/1977
AMEX Put and Call ExamSeries 000
Date: 4/21/1969
General Securities Principal ExaminationSeries 1
Date: 4/21/1969
Registered Representative ExaminationCurrent Firm
UNION CAPITAL COMPANY
CRD#: 110301 / SEC#: 801-121320, 8-53127
Contact information
SEC notice filing (16 States and Territories)
FINRA licenses (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 517 |
| AUM (Assets Under Management) | $ 177,000,000 |
Disclosures
| Regulatory Event | 2 |
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.
