Carlos A. Borghino De La Pena
Professional summary
Carlos Aldo Borghino De La Pena, who also goes by Carlos Ald Borghino-de-la-pena, Carlos Aldo Borghino Dela Pena, Carlos Aldo Borghinodelapena, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Carlos is registered as a RR (Registered Representative) and started their career in finance in 2017. Carlos has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carlos Aldo Borghino De La Pena's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 4, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003January 25, 2023 - July 5, 2023
GB CAPITAL MARKETS LLC
April 29, 2022 - December 6, 2022
GALAXY DIGITAL PARTNERS LLC
January 24, 2017 - April 1, 2019
CITIGROUP GLOBAL MARKETS 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
(3/4/2025)
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Exams
Series 7TO
Date: 7/22/2022
General Securities Representative ExaminationFINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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