Carla D. Jones
Professional summary
Carla Denee Jones, who also goes by Carla D Jones, Carla Denee Jones, is a registered financial professional currently at ALPACA SECURITIES LLC located in New York, New York.
Carla is registered as a RR (Registered Representative) and started their career in finance in 2007. Carla has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carla Denee Jones's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 10, 2025 - Present
ALPACA SECURITIES LLC
Office #1: 12 E 49th St. Floor 11, New York, NY 10017February 24, 2023 - April 9, 2025
NATIONWIDE INVESTMENT ADVISORS, LLC
February 23, 2023 - April 9, 2025
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 15, 2022 - January 14, 2023
J.P. MORGAN SECURITIES LLC
March 10, 2022 - January 14, 2023
J.P. MORGAN SECURITIES LLC
November 9, 2020 - November 29, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 3, 2020 - November 29, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 17, 2007 - April 25, 2012
CHASE INVESTMENT SERVICES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/10/2025)
(4/10/2025)
Exams
Series 7TO
Date: 2/3/2020
General Securities Representative ExaminationFINRA
Investors' Exchange LLC
Nasdaq BX, Inc.
Nasdaq Stock Market
Current Firm
ALPACA SECURITIES LLC
CRD#: 288202 / SEC#: , 8-69928
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPACADB, INC. | SOLE MEMBER | |
| DIAZ, ZACHARY LUCIANO | SR. DIRECTOR CUSTODY & SETTLEMENT, PRINCIPAL OPERATIONS OFFICER | 6027965 |
| DUSSEAULT, DAVID STANLEY | PRESIDENT AND COO | 2819891 |
| GARZA, FELIPE | AML COMPLIANCE OFFICER | 4613815 |
| LEE, TONY | GLOBAL HEAD OF BROKERAGE | 5618563 |
| SAUGSTAD, MONIQUE D | CHIEF COMPLIANCE OFFICER | 4127241 |
| TAIFI, MEHDI | CHIEF RISK OFFICER | 5977322 |
| WETTERWALD, TAMMY CAO | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6113272 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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