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CP

Carlos J. Penaloza Yepez

SABADELL SECURITIES USA
Miami, FL 33131
Some features on this profile are disabled
CRD#: 5039954
CP

Professional summary

Carlos Julio Penaloza Yepez, who also goes by Carlos Julio Penaloza, Carlos Yepez, Carlos J Penaloza Yepez, is a registered financial professional currently at SABADELL SECURITIES USA, INC. located in Miami, Florida.

Carlos is registered as a RR (Registered Representative) and started their career in finance in 2005. Carlos has worked at 5 firms and has passed the Series 66, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carlos Julio Penaloza | Carlos Yepez | Carlos J Penaloza Yepez

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 Julio Penaloza Yepez's CRS (Customer Relationship Summary).
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

April 25, 2019 - Present

SABADELL SECURITIES USA, INC.

Office #1: 1111 Brickell Avenue 30th Floor, Miami, FL, 33131
BD
CRD#: 148137
Miami, FL
Past

September 15, 2010 - April 18, 2019

CREDICORP CAPITAL LLC

BD
CRD#: 136791
MIAMI, FL
Past

January 22, 2007 - November 3, 2008

LIGHTHOUSE FINANCIAL GROUP, LLC

BD
CRD#: 103734
MIAMI, FL
Past

September 19, 2006 - December 31, 2006

CARLIN EQUITIES, LLC

BD
CRD#: 31295
AVENTURA, FL
Past

October 14, 2005 - December 31, 2006

US TRADING LLC

BD
CRD#: 37426
MIAMI, FL

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
Florida
(4/25/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/2/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/14/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/13/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/23/2008
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/21/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SABADELL SECURITIES USA, INC.
SABADELL SECURITIES USA | SABADELL SECURITIES USA, INC.

CRD#: 148137 / SEC#: 801-71763, 8-67975

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

Main Address
1111 Brickell Avenue 30th Floor 30th Floor, Miami, FL, 33131
Mailing Address
1111 Brickell Avenue 30th Floor, Miami, FL, 33131
Phone number
(786) 587-1603
Established
Florida since 05/23/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BANCO SABADELL, SAPARENT
DINAMARCA, RUBEN ANDRESCOO6201999
FERNANDEZ, JULIAN VALENTINDIRECTOR6138371
LABISTE, VIRGINIAPRESIDENT/ CEO5654675
RODRIGUEZ, GLORIA MCCO5179878
SINGER, STEVEN FREDERICFINOP/ CFO2360737
TORRAS, JORDIMEMBER OF BOARD OF DIRECTORS6547780
VILLOLDO, JORGE PATRICKDIRECTOR4370481

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

SABADELL SECURITIES USA, INC.

CRD#: 148137Miami, FL 33131

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