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Christopher L. Carlascio

OPTSECURITIES
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 4913449
CC

Professional summary

Christopher L Carlascio is a registered financial professional currently at OPTSECURITIES, LLC located in Charlotte, North Carolina.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2016. Christopher has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Christopher L Carlascio'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

November 3, 2016 - Present

OPTSECURITIES, LLC

Office #1: 200 S. College St. 16th Floor, Charlotte, NC, 28202
BD
CRD#: 47529
CHARLOTTE, NC

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
Indiana
(6/29/2017)
RR
New Hampshire
(2/5/2021)
RR
New Jersey
(12/13/2018)
RR
North Carolina
(1/3/2017)
RR
Vermont
(3/16/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/30/2016
Uniform Securities Agent State Law Examination
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 7
Date: 10/31/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/24/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

OL
OPTSECURITIES, LLC
OPT CAPITAL, LLC | OPTSECURITIES, LLC | OPT SECURITIES, LLC

CRD#: 47529 / SEC#: , 8-51811

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

Main Address
200 S. College St. 16th Floor, Charlotte, NC, 28202
Mailing Address
200 S. College St. 16th Floor, Charlotte, NC, 28202
Phone number
(704) 731-5990
Established
North Carolina since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# 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#
OPTCAPITAL, LLCSOLE MEMBER
EHRHART, RICHARD DANACEO AND CHIEF SUPERVISORY OFFICER2653050
EHRHART, RICHARD DANACHIEF COMPLIANCE OFFICER2653050
THORNTON, JONATHAN DAVIDCHIEF FINANCIAL OFFICER5095799

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

OPTSECURITIES, LLC

CRD#: 47529Charlotte, NC 28202

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