Carlo M. Santos
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.
Carlo Marvin Santos, who also goes by Carlo Santos, was a registered financial professional .
Carlo is a previously registered financial professional and started their career in finance in 2019. Carlo had worked at 2 firms and has passed the SIE exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2020 - July 30, 2021
RFA SECURITIES LLC
July 19, 2019 - March 15, 2022
CASEY SECURITIES LLC
State Registrations and Notice Filings
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Current Firm
RFA SECURITIES LLC
CRD#: 305963 / SEC#: , 8-70419
Contact information
Documents
Red Flags
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