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CG

Carlos Gussman

TRADIER BROKERAGE
Charlotte, NC 28277
Some features on this profile are disabled
CRD#: 6761647
CG

Professional summary

Carlos Gussman is a registered financial professional currently at TRADIER BROKERAGE, INC. located in Charlotte, North Carolina.

Carlos is registered as a RR (Registered Representative) and started their career in finance in 2017. Carlos has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.

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) - BD

Click below to view Carlos Gussman'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

April 20, 2026 - Present

TRADIER BROKERAGE, INC.

Office #1: 3420 Toringdon Way Suite 300, Charlotte, NC 28277Office #2: 3420 Toringdon Way Suite 300, Charlotte, NC 28277
BD
CRD#: 104982
Charlotte, NC
Past

April 4, 2017 - November 5, 2025

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CHARLOTTE, NC

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(4/20/2026)
RR
Alaska
(4/20/2026)
RR
Arizona
(4/20/2026)
RR
Arkansas
(4/20/2026)
RR
California
(4/20/2026)
RR
Colorado
(4/20/2026)
RR
Connecticut
(4/20/2026)
RR
Delaware
(4/20/2026)
RR
District of Columbia
(4/20/2026)
RR
Florida
(4/20/2026)
RR
Georgia
(4/20/2026)
RR
Hawaii
(4/20/2026)
RR
Idaho
(4/20/2026)
RR
Illinois
(4/20/2026)
RR
Indiana
(4/20/2026)
RR
Iowa
(4/20/2026)
RR
Kansas
(4/20/2026)
RR
Kentucky
(4/20/2026)
RR
Louisiana
(4/20/2026)
RR
Maine
(4/20/2026)
RR
Maryland
(4/20/2026)
RR
Massachusetts
(4/20/2026)
RR
Michigan
(4/20/2026)
RR
Minnesota
(4/20/2026)
RR
Mississippi
(4/20/2026)
RR
Missouri
(4/20/2026)
RR
Montana
(4/20/2026)
RR
Nebraska
(4/20/2026)
RR
Nevada
(4/20/2026)
RR
New Hampshire
(4/20/2026)
RR
New Jersey
(4/20/2026)
RR
New Mexico
(4/20/2026)
RR
New York
(4/20/2026)
RR
North Carolina
(4/20/2026)
RR
North Dakota
(4/20/2026)
RR
Ohio
(4/20/2026)
RR
Oklahoma
(4/20/2026)
RR
Oregon
(4/20/2026)
RR
Pennsylvania
(4/20/2026)
RR
Puerto Rico
(4/20/2026)
RR
Rhode Island
(4/20/2026)
RR
South Carolina
(4/20/2026)
RR
South Dakota
(4/20/2026)
RR
Tennessee
(4/20/2026)
RR
Texas
(4/20/2026)
RR
Utah
(4/20/2026)
RR
Vermont
(4/20/2026)
RR
Virginia
(4/20/2026)
RR
Washington
(4/20/2026)
RR
West Virginia
(4/20/2026)
RR
Wisconsin
(4/20/2026)
RR
Wyoming
(4/20/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 4/13/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/4/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/12/2024
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/8/2024
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

TB
TRADIER BROKERAGE, INC.
ROBBINS SECURITIES, INC. | TRADIER BROKERAGE, INC.

CRD#: 104982 / SEC#: , 8-52972

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Loading...

Contact information

Main Address
3420 Toringdon Way Suite 300, Charlotte, NC 28277
Mailing Address
3420 Toringdon Way Suite 300, Charlotte, NC 28277
Phone number
(980) 272-3880
Established
Illinois since 09/17/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRADIER, INC.SHAREHOLDER
BENDER, STEVEN CHRISTOPHERFINOP2650187
LAPTEWICZ, PETER ANDREWPRESIDENT5257627
LEE, PAUL HYUN SEUNGCCO2476746
LEE, PAUL HYUN SEUNGCOO2476746
LEPORE, CHRISTOPHER JAMESROSFP4787660

Disclosures

Regulatory Event2

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

TRADIER BROKERAGE, INC.

CRD#: 104982Charlotte, NC 28277

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