Carlo T. Duran
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.
Carlo Troy Duran, who also goes by Carlo T Duran, Carlo Duran, Carol Duran, was a registered financial professional .
Carlo is a previously registered financial professional and started their career in finance in 2007. Carlo had worked at 9 firms and has passed the Series 66, 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
July 20, 2015 - September 23, 2020
ALLSTATE FINANCIAL ADVISORS, LLC
July 20, 2015 - September 23, 2020
ALLSTATE FINANCIAL SERVICES, LLC
October 18, 2013 - February 27, 2015
LPL FINANCIAL LLC
October 17, 2013 - February 27, 2015
LPL FINANCIAL LLC
October 9, 2012 - October 22, 2013
FIRSTMERIT ADVISORS, INC.
October 8, 2012 - October 22, 2013
FIRSTMERIT FINANCIAL SERVICES, INC
March 15, 2010 - October 3, 2012
THE HUNTINGTON INVESTMENT COMPANY
March 15, 2010 - October 3, 2012
THE HUNTINGTON INVESTMENT COMPANY
April 24, 2009 - February 19, 2010
FIFTH THIRD SECURITIES, INC.
April 20, 2009 - February 19, 2010
FIFTH THIRD SECURITIES, INC.
January 16, 2008 - January 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 18, 2007 - January 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 6, 2007 - December 17, 2007
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
