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Edouard Nmn Mialhe

CRD# 6864320·Registered 2018 - 2023
Previously Registered: Being a previously registered professional could mean that Edouard is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Edouard Nmn Mialhe, who also goes by Edouard Mialhe, was a registered financial advisor. Edouard was a previously registered financial professional and started their career in finance 2018 - 2023. Edouard had worked at 2 firms and has passed the SIE, Series 99TO and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Edouard Mialhe

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

8 years in the financial services industry

Current & Past Employments

CARTA SECURITIES, LLC·CRD# 282086
BD
New York, NY
February 23, 2022 - December 11, 2023
CARTA CAPITAL MARKETS, LLC·CRD# 304751
BD
New York, NY
March 31, 2021 - December 10, 2024
CARTA SECURITIES, LLC·CRD# 282086
BD
New York, NY
June 8, 2018 - March 19, 2021

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Current Firm

CS
CARTA SECURITIES, LLC

CARTA SECURITIES, LLC | ESHARES SECURITIES, LLC

CRD#: 282086 / SEC#: 8-69701
BD
Terminated by SEC on 12/10/2023

Contact Information

Established

Delaware since 05/13/2015

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
ESHARES, INC. DBA CARTA, INC.SOLE MEMBER—
DEPALMA, ROSEMARY ANNCHIEF COMPLIANCE OFFICER1103302
KIM, DAVID SUNG JOOCEO/MANAGER7092850
MIALHE, EDOUARD NMNFINOP / PRINCIPAL FINANCIAL OFFICER6864320

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

SIE — Securities Industry Essentials Examination

Passed Jan 2023About the SIE exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 27 — Financial and Operations Principal Examination

Passed Jun 2018About the Series 27 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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