Carlos A. Tobon
Professional summary
Carlos Arturo Tobon, who also goes by Carlos A Tobon, is a registered financial professional currently at EPIC CAPITAL SECURITIES located in Boca Raton, Florida.
Carlos is registered as a RR (Registered Representative) and started their career in finance in 2011. Carlos has worked at 3 firms and has passed the SIE, Series 7, Series 11 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carlos Arturo Tobon's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 28, 2017 - Present
EPIC CAPITAL SECURITIES
Office #1: 1951 Nw 19th Street Suite 203, Boca Raton, FL 33431June 26, 2014 - April 11, 2017
BOREAL CAPITAL SECURITIES LLC
June 24, 2011 - June 27, 2014
CREDICORP CAPITAL 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
(3/28/2017)
Exams
Series 11
Date: 6/23/2011
Assistant Representative-Order Processing Qualification ExamFINRA
Current Firm
EPIC CAPITAL SECURITIES
CRD#: 166756 / SEC#: , 8-69229
Contact information
FINRA licenses (18 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
EPIC CAPITAL SECURITIES
CRD#: 166756Boca Raton, FL 33431TRUST BUT VERIFY
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