Carlos A. Loor

APOLLO GLOBAL SECURITIES

Miami, FL 33131

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CRD#: 6538157

Professional summary

Carlos A. Loor, who also goes by Carlos A Loor, Carlos Andres Loor, Carlos Loor, Carlos Andres Loor Avellan, is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in Miami, Florida and ATHENE SECURITIES, LLC located in West Des Moines, Iowa.

Carlos is registered as a RR (Registered Representative) and started their career in finance in 2015. Carlos has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carlos A Loor | Carlos Andres Loor | Carlos Loor | Carlos Andres Loor Avellan

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) - BD

Click below to view Carlos A. Loor's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 31, 2021 - Present

APOLLO GLOBAL SECURITIES, LLC

Office #1: 701 Brickell Ave Suite 2300, Miami, FL 33131

CRD#: 153502

Miami, FL

Current

March 18, 2024 - Present

ATHENE SECURITIES, LLC

Office #1: 7700 Mills Civic Parkway, West Des Moines, IA 50266

CRD#: 36867

West Des Moines, IA

Past

October 26, 2015 - August 28, 2021

J.P. MORGAN SECURITIES LLC

CRD#: 79

New York, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/4/2022)

Alaska
(3/14/2022)

Arizona
(3/14/2022)

Arkansas
(1/4/2022)

California
(3/14/2022)

Colorado
(3/14/2022)

Connecticut
(3/14/2022)

Delaware
(3/14/2022)

District of Columbia
(3/14/2022)

Florida
(1/4/2022)

Georgia
(1/4/2022)

Hawaii
(3/14/2022)

Idaho
(3/14/2022)

Illinois
(3/14/2022)

Indiana
(3/14/2022)

Iowa
(3/14/2022)

Kansas
(3/14/2022)

Kentucky
(3/14/2022)

Louisiana
(1/4/2022)

Maine
(3/14/2022)

Maryland
(3/14/2022)

Massachusetts
(3/14/2022)

Michigan
(3/14/2022)

Minnesota
(3/14/2022)

Mississippi
(3/14/2022)

Missouri
(3/14/2022)

Montana
(3/14/2022)

Nebraska
(3/14/2022)

Nevada
(3/14/2022)

New Hampshire
(3/14/2022)

New Jersey
(3/14/2022)

New Mexico
(3/14/2022)

New York
(8/31/2021)

North Carolina
(1/4/2022)

North Dakota
(3/14/2022)

Ohio
(3/15/2022)

Oklahoma
(3/14/2022)

Oregon
(3/14/2022)

Pennsylvania
(3/14/2022)

Puerto Rico
(3/14/2022)

Rhode Island
(3/14/2022)

South Carolina
(1/4/2022)

South Dakota
(3/14/2022)

Tennessee
(1/4/2022)

Texas
(1/4/2022)

Utah
(3/14/2022)

Vermont
(3/14/2022)

Virgin Islands
(3/14/2022)

Virginia
(3/14/2022)

Washington
(3/14/2022)

West Virginia
(3/14/2022)

Wisconsin
(3/14/2022)

Wyoming
(3/14/2022)

Exams

State Security Law Exam

Series 63

Date: 11/6/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/7/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/26/2015

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: , 8-47499

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

7700 Mills Civic Parkway, West Des Moines, IA 50266

Mailing Address

7700 Mills Civic Parkway, West Des Moines, IA 50266

Phone number

(515) 342-4616

Established

Indiana since 04/21/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ATHENE USA CORPORATION	ATHENE SECURITIES, LLC
BATTERSON, CHAD M	PRESIDENT, COO, FINOP	4880009
BURTON, SHEILA SUE	CHIEF COMPLIANCE OFFICER
GEYELIN, ANTONY LAUSSAT III	VICE PRESIDENT	4605388
HUNT, ANGELA JEAN	COMPLIANCE OFFICER	7192588

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.

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Carlos A. Loor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carlos A. Loor's CRS (Customer Relationship Summary).

Certified licenses

Experience

APOLLO GLOBAL SECURITIES, LLC

ATHENE SECURITIES, LLC

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/6/2015

SIE

Date: 10/1/2018

Series 7

Date: 3/7/2017

Series 6

Date: 10/26/2015

FINRA

Current Firm

ATHENE SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ATHENE SECURITIES, LLC

TRUST BUT VERIFY

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