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CS

Carlos M. Silva

Some features on this profile are disabled
CRD#: 5913918
CS

Professional summary

Carlos Mark Silva was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Carlos is a previously registered financial professional and started their career in finance in 2012. Prior to being barred, Carlos had worked at 1 firm, which includes FATOR SECURITIES LLC.

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

August 13, 2012 - February 26, 2013

FATOR SECURITIES LLC

BD
CRD#: 142008
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

General Industry/Product Exam
RR
Series 99
Date: 8/11/2012
Operations Professional Examination

Current Firm

FS
FATOR SECURITIES LLC
FATOR SECURITIES LLC

CRD#: 142008 / SEC#: , 8-67423

BD
Terminated by SEC on 03/01/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/14/2006
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FATOR EMPREENDIMENTOS LLCSOLE MEMBER
SPINDEL, HOWARDFINOP708042
WEBB, MARK DAVIDCEO/CCO2434152

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

FATOR SECURITIES LLC

CRD#: 142008

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