Carlos Miguel Galindo Del Rio

CREDIT AGRICOLE SECURITIES (USA)

New York, NY 10019

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CRD#: 4770879

Professional summary

Carlos Miguel Galindo Del Rio, who also goes by Carlos M Galindo Mr, Carlos M Galindo, Carlos M. Galindo, Carlos Miguel Galindo Del Rio, is a registered financial professional currently at CREDIT AGRICOLE SECURITIES (USA) INC. located in New York, New York.

Carlos Miguel is registered as a RR (Registered Representative) and started their career in finance in 2005. Carlos Miguel has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carlos M Galindo Mr | Carlos M Galindo | Carlos M. Galindo | Carlos Miguel Galindo Del Rio

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) - BD

Click below to view Carlos Miguel Galindo Del Rio's CRS (Customer Relationship Summary).

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

Current

September 7, 2006 - Present

CREDIT AGRICOLE SECURITIES (USA) INC.

Office #1: 1301 Avenue Of The Americas 9th Floor, New York, NY 10019

CRD#: 190

New York, NY

Past

November 2, 2005 - August 3, 2006

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

June 23, 2005 - November 18, 2005

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(2/2/2010)

Florida
(7/13/2010)

Illinois
(7/13/2010)

Massachusetts
(2/2/2010)

New York
(9/7/2006)

Texas
(7/13/2010)

Virginia
(7/13/2010)

Exams

State Security Law Exam

Series 63

Date: 11/9/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/22/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/27/2013

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

New York Stock Exchange

Current Firm

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190 / SEC#: , 8-13753

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1301 Avenue Of The Americas - 9th Floor, New York, NY 10019

Mailing Address

1301 Avenue Of The Americas - 9th Floor, New York, NY 10019

Phone number

(212) 261-7000

Established

New York since 01/30/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CREDIT AGRICOLE GLOBAL PARTNERS INC. ("CAGPI")	SHAREHOLDER
ARNAL, CELINE	DIRECTOR	7247072
GEROLD, MARIA TERESA	CFO	5967881
HETIER, FRANCOIS-EDOUARD MARIE MARC	DIRECTOR	7817148
KURZ, WILLIAM FRANK	MEMBER OF THE BOARD OF DIRECTORS AND COO	7602164
PUBLIE, STEPHANE	INTERIM CEO AND MEMBER OF THE BOARD OF DIRECTORS	5978052
YOUN, EDWARD KYUNG-HO	CHIEF COMPLIANCE OFFICER	6723958
ZAFAR, KASHIF	MANAGING DIRECTOR	2666642

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Carlos Miguel Galindo Del Rio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carlos Miguel Galindo Del Rio's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/9/2005

SIE

Date: 10/1/2018

Series 7

Date: 6/22/2005

Series 24

Date: 9/27/2013

FINRA

NYSE American LLC

New York Stock Exchange

Current Firm

CREDIT AGRICOLE SECURITIES (USA) INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CREDIT AGRICOLE SECURITIES (USA) INC.

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