Otilio Cardona
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.
Otilio Cardona, who also goes by Oti Cardona, Otillio Cardona, Rev. Oti Cardona, was a registered financial professional .
Otilio is a previously registered financial professional and started their career in finance in 2006. Otilio had worked at 2 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2013 - March 22, 2019
BARNETT CAPITAL ADVISORS LLC
September 29, 2006 - May 22, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
September 6, 2006 - May 22, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
BARNETT CAPITAL ADVISORS LLC
CRD#: 159113 / SEC#: 801-131653
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
Current Firm
BARNETT CAPITAL ADVISORS LLC
CRD#: 159113 / SEC#: 801-131653
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 453 |
| AUM (Assets Under Management) | $ 122,778,761 |
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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