Carlos A. Enriquez
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 Alberto Enriquez, who also goes by Charly Enriquez, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1979. Carlos had worked at 5 firms and has passed the Series 7, Series 53 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
September 11, 1996 - August 23, 2002
AMERICAN GOVERNMENT CERTIFICATES & FUNDS CORPORATION
April 14, 1994 - August 16, 1996
PRUDENTIAL EQUITY GROUP, LLC
July 23, 1987 - March 24, 1994
AMERICAN GOVERNMENT CERTIFICATES & FUNDS CORPORATION
December 27, 1985 - October 12, 1987
EASTER KRAMER GROUP SECURITIES, INC.
February 12, 1982 - May 28, 1985
UBS FINANCIAL SERVICES INC.
August 28, 1979 - February 10, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AMERICAN GOVERNMENT CERTIFICATES & FUNDS CORPORATION
CRD#: 18655 / SEC#: , 8-36850
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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