Carlos D. Brussa
Professional summary
Carlos D Brussa, who also goes by Carlos David Brussa, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in New York, New York.
Carlos is registered as a RR (Registered Representative) and started their career in finance in 2000. Carlos has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carlos D Brussa's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 26, 2019 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 277 Park Ave, New York, NY 10172June 19, 2017 - February 27, 2019
FIRST TRUST ADVISORS LP
March 23, 2017 - February 27, 2019
FIRST TRUST PORTFOLIOS L.P.
February 29, 2012 - January 7, 2016
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
October 13, 2011 - December 31, 2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
May 4, 2010 - October 4, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 30, 2010 - October 4, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 23, 2009 - April 1, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - April 1, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 15, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 23, 2007 - August 27, 2008
MORGAN STANLEY & CO. LLC
July 23, 2007 - August 27, 2008
MORGAN STANLEY & CO. LLC
March 3, 2006 - August 8, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2006 - August 8, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 12, 2000 - December 7, 2005
MFS FUND DISTRIBUTORS, INC.
January 2, 2000 - August 28, 2000
LPL FINANCIAL 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
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Exams
FINRA
Current Firm
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
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