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AC

Alba L. Calderon

CG COMPASS (USA) LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 6996410
AC

Professional summary

Alba L Calderon is a registered financial professional currently at CG COMPASS (USA) LLC located in New York, New York.

Alba is registered as a RR (Registered Representative) and started their career in finance in 2019. Alba has worked at 2 firms and has passed the SIE and Series 99 exams.

top-8-questions

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 Alba L Calderon'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

January 20, 2021 - Present

CG COMPASS (USA) LLC

Office #1: 590 Madison Ave 33rd Floor, New York, NY 10022
BD
CRD#: 129837
New York, NY
Past

January 19, 2019 - November 4, 2020

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/22/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 1/19/2019
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CG COMPASS (USA) LLC
CG COMPASS (USA) LLC

CRD#: 129837 / SEC#: , 8-66263

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

Main Address
590 Madison Ave 33rd Floor, New York, NY 10022
Mailing Address
590 Madison Ave 33rd Floor, New York, NY 10022
Phone number
(212) 355-7630
Established
Delaware since 10/01/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
COMPASS GROUP HOLDINGS INC.OWNER
ALVAREZ, ENRIQUEFINOP4622342
ALVIZUA, PEDRO GERARDOCHIEF COMPLIANCE OFFICER6441839
ROJAS PROVENZALI, HECTOR ARTUROCEO & EXECUTIVE REPRESENTATIVE6290965

Disclosures

Regulatory Event1

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

CG COMPASS (USA) LLC

CRD#: 129837New York, NY 10022

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