Carlos A De Freitas
Professional Summary
Carlos A De Freitas, who also goes by Carlor A Freitas, is a registered financial advisor currently at MACQUARIE CAPITAL (USA) INC. located in New York, New York. Carlos is registered as a RR (Registered Representative) and started their career in finance in 2012. Carlos has worked at 1 firm and has passed the SIE, Series 7, Series 99, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Carlor A Freitas
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
MACQUARIE CAPITAL (USA) INC. | MCUSA | MACQUARIE SECURITIES INC. | MACQUARIE SECURITIES (USA) INC. | MACQUARIE EQUITIES (U.S.A.) INC.
Contact Information
Main Address
660 5th Ave, New York, NY 10103Mailing Address
660 5th Ave, New York, NY 10103Phone Number
(212) 231-1000Established
Delaware since 03/01/1994Firm Type
CorporationFiscal Year End
MarchFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | — |
| AMES, PAUL ROBERT | DIRECTOR | 2547050 |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
Regulatory Event
4Civil Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Carlos A De Freitas's CRS (Customer Relationship Summary).
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