Carlos Arellano
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 Arellano was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2008. Carlos had worked at 7 firms and has passed the Series 66, Series 63, 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
December 5, 2014 - February 26, 2016
1ST GLOBAL ADVISORS INC
December 5, 2014 - February 26, 2016
1ST GLOBAL CAPITAL CORP.
November 22, 2013 - November 26, 2014
USAA FINANCIAL ADVISORS, INC.
November 15, 2013 - November 26, 2014
USAA FINANCIAL PLANNING SERVICES
November 14, 2011 - March 16, 2012
STRATEGIC ADVISERS LLC
October 17, 2011 - March 15, 2012
FIDELITY BROKERAGE SERVICES LLC
May 15, 2008 - August 25, 2011
TD AMERITRADE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
1ST GLOBAL ADVISORS INC
CRD#: 111133 / SEC#: 801-41517
Contact information
Documents
Part 2 Brochures
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.
