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Carlos A. De Freitas

MACQUARIE CAPITAL (USA)
NEW YORK, NY 10103
Some features on this profile are disabled
CRD#: 4812920
CD

Professional summary

Carlos A De Freitas, who also goes by Carlor A Freitas, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carlor A Freitas

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 A De Freitas'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

March 5, 2012 - Present

MACQUARIE CAPITAL (USA) INC.

Office #1: 660 5th Ave, New York, NY 10103
BD
CRD#: 36368
NEW YORK, NY

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99
Date: 3/2/2012
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/15/2020
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/27/2017
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MACQUARIE CAPITAL (USA) INC.
MACQUARIE CAPITAL (USA) INC. | MACQUARIE SECURITIES INC. | MACQUARIE SECURITIES (USA) INC. | MACQUARIE EQUITIES (U.S.A.) INC.

CRD#: 36368 / SEC#: , 8-47198

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

Main Address
660 5th Ave, New York, NY 10103
Mailing Address
660 5th Ave, New York, NY 10103
Phone number
(212) 231-1000
Established
Delaware since 03/01/1994
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MACQUARIE HOLDINGS (USA) INC.SHAREHOLDER
BACHTELER, TOBIASCO-CHIEF EXECUTIVE OFFICER4945558
CHAN, PAULINA MCHIEF COMPLIANCE OFFICER3211559
CONAHAN, JAMES SCHIEF FINANCIAL OFFICER/FINOP2538695
DE FREITAS, CARLOS ACHIEF OPERATING OFFICER4812920
FULTON, JANEEN KAYAML OFFICER3066508
VALENTINE, ROBERT GEOFFREYDIRECTOR5633577
VUOLO, JEREMY MURPHYCO-CHIEF EXECUTIVE OFFICER2798378

Disclosures

Regulatory Event4
Civil Event1

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

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368New York, NY 10103

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