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CA

Carlos A. Abadi

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CRD#: 5867644
CA

Professional summary

Carlos Andres Abadi was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Carlos Andres Abadi was a registered financial professional .

Carlos is a previously registered financial professional and started their career in finance in 2011. Carlos had worked at 1 firm and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 24, 2011 - February 1, 2017

ACGM, INC.

BD
CRD#: 29705
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/17/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/1/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/23/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/31/2011
General Securities Principal Examination

Current Firm

AI
ACGM, INC.
ABADI & CO. GLOBAL MARKETS | HKC SECURITIES, INC. | ACGM, INC.

CRD#: 29705 / SEC#: , 8-44376

BD
Terminated by SEC on 04/02/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 11/20/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ACGM HOLDINGS, INC.SOLE OWNER
ABADI, BARBARA JEANCOO, DIRECTOR5429958
ABADI, CARLOS ANDRESDIRECTOR, PRESIDENT, CEO5867644
DURKIN, GERARD ANTHONYFINOP, CFO1292336
LYONS, WILLIAM BERNARDCHIEF COMPLIANCE OFFICER, ROSFP, DIRECTOR1521283

Disclosures

Regulatory Event1

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.

Company Information

ACGM, INC.

CRD#: 29705

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