Carlos F. Paez
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 F Paez, who also goes by Carlos Fernando Paez, Carlos Paez, Carlos Fernando Tumipamba, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2000. Carlos had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 3 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
June 26, 2006 - April 30, 2018
WEEDEN & CO.L.P.
January 5, 2004 - April 1, 2005
TAFFERER TRADING, LLC
June 4, 2003 - December 1, 2003
COMPASS FUND MANAGEMENT, LLC
March 14, 2001 - August 27, 2002
CREDIT SUISSE SECURITIES (USA) LLC
July 27, 2000 - March 6, 2001
ABN AMRO SECURITIES 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
Series 55
Date: 7/16/2001
Limited Representative-Equity Trader ExamCurrent Firm
WEEDEN & CO.L.P.
CRD#: 16835 / SEC#: 801-57163, 8-37267
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER JAFFRAY COMPANIES | 100% OWNER | |
| MCCAGUE, ANNCHARLOTTE | CHIEF COMPLIANCE OFFICER | 1108448 |
Disclosures
| Regulatory Event | 13 |
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.
