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Carlina Ferrer

Some features on this profile are disabled
CRD#: 4595774
CF

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.

Carlina Ferrer, who also goes by Carlina Ferrer-gill, Carlina Gill, was a registered financial professional .

Carlina is a previously registered financial professional and started their career in finance in 2003. Carlina had worked at 5 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carlina Ferrer-Gill | Carlina Gill

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

June 19, 2009 - January 9, 2012

CAPITAL ONE INVESTMENT SERVICES LLC

BD
CRD#: 25658
MELVILLE, NY
Past

June 5, 2006 - July 31, 2007

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
BRONX, NY
Past

June 29, 2004 - December 31, 2004

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

August 12, 2003 - April 15, 2004

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

March 4, 2003 - June 10, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO

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
Series 63
Date: 3/6/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 3/3/2003
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CO
CAPITAL ONE INVESTMENT SERVICES LLC
CAPITAL ONE INVESTMENT SERVICES CORPORATION | NFB INVESTMENT SERVICES CORPORATION | NFB INVESTMENT SERVICES CORP. | COMPASS INVESTMENT SERVICES CORP. | CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658 / SEC#: , 8-41948

BD
Terminated by SEC on 03/31/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 07/31/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL ONE, N.A.SOLE SHAREHOLDER
BUTLER, YVETTEPRESIDENT & CEO2471482
CONSTANTINO, KRISTEN DANIELLECHIEF COMPLIANCE OFFICER3001473
DEBLANC, RONALD JOSEPHCHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL1672968
DELMONACO, JEAN MARIEMSRB PRINCIPAL1452891

Disclosures

Regulatory Event2
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

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