Karlo Teran
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.
Karlo Teran was a registered financial professional .
Karlo is a previously registered financial professional and started their career in finance in 2009. Karlo had worked at 2 firms and has passed the Series 65 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 7, 2020 - November 2, 2020
UPRIVER CAPITAL MANAGEMENT, LLC
October 13, 2009 - April 14, 2011
INVESTMENT PLACEMENT GROUP
State Registrations and Notice Filings
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Exams
Current Firm
UPRIVER CAPITAL MANAGEMENT, LLC
CRD#: 309392 / SEC#: 801-118986
Contact information
Red Flags
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