Carlos E. Alamo
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 Enrique Alamo was a registered financial advisor .
Carlos is a previously registered financial advisor and started their career in finance in 2006. Carlos had worked at 3 firms and has passed the Series 65 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
April 1, 2009 - November 27, 2013
CANDOR ASSET MANAGEMENT, LLC
August 26, 2008 - December 12, 2008
SANTANDER SECURITIES LLC
November 3, 2006 - March 9, 2007
EQUITY TRADING ONLINE, LLC
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
CANDOR ASSET MANAGEMENT, LLC
CRD#: 149493 / SEC#:
Contact information
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.
