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CE

Carlo Y. Esannason

BUCKLER SECURITIES LLC
Greenwich, CT 06831
Some features on this profile are disabled
CRD#: 4869110
CE

Professional summary

Carlo Yvan Esannason, who also goes by Carlo Y Esannason, Carlo Esannason, is a registered financial professional currently at BUCKLER SECURITIES LLC located in Greenwich, Connecticut.

Carlo is registered as a RR (Registered Representative) and started their career in finance in 2006. Carlo has worked at 9 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carlo Y Esannason | Carlo Esannason

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 Carlo Yvan Esannason'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

December 10, 2024 - Present

BUCKLER SECURITIES LLC

Office #1: 5 Greenwich Office Park, Suite 350, Greenwich, CT 06831
BD
CRD#: 284576
Greenwich, CT
Past

November 5, 2024 - March 6, 2025

MERCURY CAPITAL ADVISORS, LLC

BD
CRD#: 152338
NEW YORK, NY
Past

November 1, 2024 - February 7, 2025

SKYVIEW INVESTMENT BANKING

BD
CRD#: 135073
MANHATTAN BEACH, CA
Past

October 31, 2023 - May 16, 2025

CAPITAL DYNAMICS BROKER DEALER LLC

BD
CRD#: 148780
NEW YORK, NY
Past

October 22, 2023 - December 5, 2024

ALLIO MARKETS, LLC

BD
CRD#: 318268
SEATTLE, WA
Past

January 11, 2022 - March 23, 2023

HILLTOP SECURITIES INC.

BD
CRD#: 6220
MATAWAN, NJ
Past

September 24, 2018 - December 16, 2021

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

August 26, 2015 - June 4, 2018

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 19, 2006 - September 4, 2015

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Arizona
(12/10/2024)
RR
California
(12/10/2024)
RR
Connecticut
(12/10/2024)
RR
Delaware
(12/10/2024)
RR
Florida
(12/10/2024)
RR
Illinois
(12/10/2024)
RR
Maryland
(12/10/2024)
RR
Massachusetts
(12/10/2024)
RR
Missouri
(12/10/2024)
RR
New Jersey
(12/10/2024)
RR
New York
(12/10/2024)
RR
North Carolina
(12/10/2024)
RR
Ohio
(12/10/2024)
RR
Pennsylvania
(12/10/2024)
RR
Texas
(12/10/2024)
RR
Wisconsin
(12/10/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/23/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/20/2015
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/18/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/13/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BUCKLER SECURITIES LLC
BUCKLER SECURITIES LLC

CRD#: 284576 / SEC#: , 8-69807

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

Main Address
5 Greenwich Office Park, Suite 350, Greenwich, CT 06831
Mailing Address
5 Greenwich Office Park, Suite 350, Greenwich, CT 06831
Phone number
(203) 633-2225
Established
Delaware since 04/28/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ARMOUR CAPITAL MANAGEMENT LPSHAREHOLDER164570
ARMOUR TRS INCSHAREHOLDER
CONIGLIARIO, THOMAS JOSEPHCHIEF OPERATING OFFICER / PRINCIPLE OPERATIONS OFFICER1366831
ESANNASON, CARLO YVANCCO4869110
HARPER, GORDON MACKAYCHIEF FINANCIAL OFFICER6632019
JOSHI, JAI PAULCHIEF RISK OFFICER2263070
KOKKO, LASSE ARTTURIPRINCIPLE FINANCIAL OFFICER ("PFO") / FINOP6976957
MISIANO, RICHARD JOHNCHIEF EXECUTIVE OFFICER2339879
ULM, SCOTT JEFFREYPRINCIPAL1575205

Red Flags

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.

Company Information

BUCKLER SECURITIES LLC

CRD#: 284576Greenwich, CT 06831

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