Carlos G. Albert Moreno
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 Gerardo Albert Moreno, who also goes by Carlos G Albert-moreno, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2005. Carlos had worked at 2 firms and has passed the Series 66, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2015 - July 27, 2015
GBM INTERNATIONAL, INC.
December 17, 2012 - April 1, 2013
GBM INTERNATIONAL, INC.
June 15, 2005 - January 19, 2011
GBM INTERNATIONAL, INC.
January 21, 2005 - May 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 10, 2005 - May 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 55
Date: 11/16/2006
Limited Representative-Equity Trader ExamCurrent Firm
GBM INTERNATIONAL, INC.
CRD#: 28684 / SEC#: , 8-43882
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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