Carlos E. Mahecha
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 Mahecha was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2006. Carlos had worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE 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
May 26, 2022 - September 22, 2023
FIVENCA ASSET MANAGEMENT
September 24, 2021 - September 1, 2023
MARCO POLO SECURITIES INC.
July 16, 2020 - November 2, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
June 17, 2020 - November 2, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
May 6, 2011 - January 6, 2020
FIDELITY DISTRIBUTORS COMPANY LLC
August 27, 2008 - April 15, 2011
EATON VANCE MANAGEMENT
November 29, 2006 - April 15, 2011
EATON VANCE DISTRIBUTORS, INC.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
FIVENCA ASSET MANAGEMENT
CRD#: 288527 / SEC#: 801-125721
Contact information
Regulatory assets under management
| Total Number of Accounts | 66 |
| AUM (Assets Under Management) | $ 42,292,568 |
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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