Carlos L. Rojas
Professional summary
Being a previously registered professional could mean that this person 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.
Carlos Luis Rojas was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1980. Carlos had worked at 10 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2008 - April 17, 2013
SCF SECURITIES, INC.
July 11, 2006 - December 31, 2007
THE O.N. EQUITY SALES COMPANY
January 5, 2006 - July 31, 2006
CCF INVESTMENTS, INC.
July 21, 2005 - December 31, 2005
THE LEADERS GROUP, INC.
February 8, 2005 - June 15, 2005
THE LEADERS GROUP, INC.
April 29, 2002 - December 31, 2004
THE O.N. EQUITY SALES COMPANY
February 20, 2001 - April 29, 2002
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 25, 1999 - February 8, 2001
LPL FINANCIAL LLC
January 16, 1996 - December 31, 1998
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 22, 1988 - December 1, 1995
VERAVEST INVESTMENTS, INC.
February 1, 1983 - June 21, 1988
HORNOR, TOWNSEND & KENT, LLC
April 10, 1980 - February 1, 1983
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
April 10, 1980 - February 1, 1983
MONY SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 3/25/1980
Registered Representative ExaminationCurrent Firm
SCF SECURITIES, INC.
CRD#: 47275 / SEC#: , 8-51760
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
