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JC

Jaime E. Carvallo

Some features on this profile are disabled
CRD#: 4520352
JC

Professional summary

Jaime E Carvallo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jaime is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Jaime had worked at 5 firms, which includes PARK SUTTON ADVISORS LLC, MEESCHAERT CAPITAL MARKETS INC., DEUTSCHE BANK SECURITIES INC., HSBC SECURITIES (USA) INC., CITICORP INVESTMENT SERVICES.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 12, 2010 - May 26, 2017

PARK SUTTON ADVISORS, LLC

BD
CRD#: 149828
NEW YORK, NY
Past

May 12, 2008 - January 14, 2010

MEESCHAERT CAPITAL MARKETS, INC.

BD
CRD#: 17012
NEW YORK, NY
Past

January 2, 2008 - May 1, 2008

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

March 10, 2005 - November 14, 2007

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK, NY
Past

December 18, 2002 - January 13, 2005

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/24/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/3/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/26/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/23/2009
General Securities Principal Examination

Current Firm

PS
PARK SUTTON ADVISORS, LLC
PARK SUTTON ADVISORS, LLC | PARK SUTTON SECURITIES, LLC

CRD#: 149828 / SEC#: , 8-68195

BD
Terminated by SEC on 03/24/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/14/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PARK SUTTON HOLDINGS, LLCMEMBER
BEATON, DANIEL STEWARTFINOP/ CFO4240769
LEVITT, STEVEN MARKCEO / MANAGING MEMBER, CCO2987203

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

PARK SUTTON ADVISORS, LLC

CRD#: 149828

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