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CB

Carl Bachmann

M2O PRIVATE FUND ADVISORS LLC
White Plains, NY 10601
Some features on this profile are disabled
CRD#: 6958984
CB

Professional summary

Carl Bachmann IV, who also goes by Cj Bachmann IV, Carl Joseph Bachmann Iv, Carl Joseph Bachmann, is a registered financial professional currently at M2O PRIVATE FUND ADVISORS LLC located in White Plains, New York.

Carl is registered as a RR (Registered Representative) and started their career in finance in 2019. Carl has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cj Bachmann Iv | Carl Joseph Bachmann Iv | Carl Joseph Bachmann

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 Carl Bachmann IV's 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

December 14, 2021 - Present

M2O PRIVATE FUND ADVISORS LLC

Office #1: 1 North Lexington Ave Suite 500, White Plains, NY 10601Office #2: 1 North Lexington Ave Suite 500, White Plains, NY 10601
BD
CRD#: 158741
White Plains, NY
Past

August 5, 2021 - November 11, 2021

EDWARD JONES

RIA
CRD#: 250
PORT JEFFERSON, NY
Past

July 12, 2021 - November 11, 2021

EDWARD JONES

BD
CRD#: 250
PORT JEFFERSON, NY
Past

November 13, 2019 - July 12, 2021

M2O PRIVATE FUND ADVISORS LLC

BD
CRD#: 158741
WHITE PLAINS, NY

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
New York
(12/14/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/3/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/31/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/13/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/17/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

MP
M2O PRIVATE FUND ADVISORS LLC
M2O PRIVATE FUND ADVISORS LLC

CRD#: 158741 / SEC#: , 8-68917

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
1 North Lexington Ave Suite 500, White Plains, NY 10601
Mailing Address
1 North Lexington Ave Suite 500, White Plains, NY 10601
Phone number
(914) 368-9795
Established
New York since 05/26/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BELCASTRO, LUKE GERALDPARTNER2404844
HALLOCK, MARK VINCENTPARTNER1736739
LAUB, JACOB ADAMPARTNER4812762
MARSHALL, MARGARET JEANPARTNER2912562
PUYA, JUSTIN RMANAGING MEMBER, PRINCIPAL, EXECUTIVE REPRESENTATIVE5705643
HOGAN, MICHAEL FRANCISCCO5535937
SCARPATI, GERARDFINOP2313132

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

M2O PRIVATE FUND ADVISORS LLC

CRD#: 158741White Plains, NY 10601

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