Carlos A. Figueroa
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 Alfonso Figueroa, who also goes by Carlos A Figueroa, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1979. Carlos had worked at 10 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2006 - August 1, 2008
DOMINICK & DICKERMAN LLC
December 8, 1997 - November 17, 2006
AUSTIN ATLANTIC CAPITAL INC.
March 20, 1992 - December 3, 1997
SHAY GOVERNMENT SECURITIES CO.
March 20, 1992 - December 8, 1997
SHAY FINANCIAL SERVICES CO.
October 30, 1989 - November 13, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 18, 1988 - January 4, 1991
KIDDER, PEABODY & CO. INCORPORATED
April 15, 1987 - January 21, 1988
BALCOR SECURITIES COMPANY
January 30, 1981 - January 16, 1986
PRUDENTIAL-BACHE CAPITAL FUNDING PUERTO RICO INC.
December 22, 1980 - January 16, 1986
PRUDENTIAL-BACHE LATIN AMERICA INC.
August 20, 1979 - January 14, 1986
PRUDENTIAL-BACHE SECURITIES (PAN AMERICA) INC.
April 2, 1979 - August 27, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
DOMINICK & DICKERMAN LLC
CRD#: 7344 / SEC#: 801-63247, 8-21076
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DM TRUST | OWNER | |
| DERBY WEST LLC | TRUSTEE OF DM TRUST | |
| HLADEK, ROBERT MICHAEL | CEO | |
| HLADEK, ROBERT MICHAEL | SR. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2199923 |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 11 |
| Bond | 1 |
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.
