Carlos W. Herbas
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 Walter Herbas, who also goes by Carlos W Herbas, Carlos Herbas, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2004. Carlos had worked at 7 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2011 - January 21, 2014
VARIABLE INVESTMENT ASSOCIATES, INC.
July 9, 2008 - December 31, 2008
SIGMA FINANCIAL CORPORATION
March 7, 2008 - April 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 2005 - November 14, 2007
NATCITY INVESTMENTS, INC.
July 6, 2005 - August 31, 2005
CHASE INVESTMENT SERVICES CORP.
September 27, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
June 24, 2004 - September 9, 2004
QUEST CAPITAL STRATEGIES, INC.
March 17, 2004 - May 28, 2004
BANC ONE SECURITIES CORPORATION
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
Current Firm
VARIABLE INVESTMENT ASSOCIATES, INC.
CRD#: 44412 / SEC#: , 8-50699
Contact information
FINRA licenses (49 States and Territories)
Disclosures
| Regulatory Event | 1 |
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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