Isabel V. Carta
Professional summary
Isabel Victoria Carta, who also goes by Isabel Carta, is a registered financial professional currently at LUMENT SECURITIES, LLC located in Columbus, Ohio.
Isabel is registered as a RR (Registered Representative) and started their career in finance in 2015. Isabel has worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Isabel Victoria Carta's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 23, 2022 - Present
LUMENT SECURITIES, LLC
Office #1: 10 West Broad Street 8th Floor, Columbus, OH 43215May 20, 2016 - May 11, 2022
PCE INVESTMENT BANKERS, INC.
June 10, 2015 - April 25, 2016
T. ROWE PRICE INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/23/2022)
(9/22/2022)
Exams
FINRA
Current Firm
LUMENT SECURITIES, LLC
CRD#: 14840 / SEC#: , 8-31175
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LUMENT REAL ESTATE CAPITAL HOLDINGS, LLC | SHAREHOLDER | |
| CROFT, JAMES FRANCIS | CHAIRMAN, BOARD OF MANAGERS | 2148025 |
| KIRKWOOD, ROBERT THOMAS | CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS | 6025468 |
| MAINELLI, KEVIN JOSEPH | MANAGING DIRECTOR - CHIEF COMPLIANCE OFFICER | 1751991 |
| SMITH, MARY AGNES | CHIEF FINANCIAL OFFICER AND FINOP | 2498307 |
Red Flags
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