Carlos Barrientos Serrano
Professional summary
Carlos Barrientos Serrano, who also goes by Carlos Barrientos, is a registered financial professional currently at INVEX, LLC. located in Miami, Florida.
Carlos is registered as a RR (Registered Representative) and started their career in finance in 2002. Carlos has worked at 1 firm and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carlos Barrientos Serrano's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 18, 2002 - Present
INVEX, LLC.
Office #1: Brickell Key Dr Suite 400, Miami, FL 33131Office #2: 2 Alhambra Plaza Suite Ph Ii, Coral Gables, FL 33134State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/7/2017)
(5/31/2002)
(4/18/2002)
(5/31/2002)
(5/31/2002)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 8/20/2009
Limited Representative-Equity Trader ExamFINRA
Current Firm
INVEX, LLC.
CRD#: 30032 / SEC#: , 8-44695
Contact information
FINRA licenses (8 States and Territories)
Disclosures
| Regulatory Event | 3 |
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
INVEX, LLC.
CRD#: 30032Miami, FL 33131TRUST BUT VERIFY
Monitor Carlos Barrientos Serrano
Get automatic monthly alerts on:
