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Carlos Gonzalo Olivares

Tradeweb Direct LLC

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About Carlos Gonzalo Olivares

Carlos Gonzalo Olivares is a financial professional with over 20 years of experience in the financial services industry. Carlos has held positions at several prominent firms including Tradeweb Direct LLC, Tradeweb LLC, CLSA Americas, LLC, EMBONDS INC., BGC FINANCIAL, L.P., ING FINANCIAL MARKETS LLC, CANTOR FITZGERALD & CO., VECTORMEX INCORPORATED, IDB CAPITAL CORP., CBNY INVESTMENT SERVICES CORP., and QUICK & REILLY, INC. Carlos is currently registered with Tradeweb Direct LLC.

Firm Information

Carlos Olivares is currently registered with Tradeweb Direct LLC. Tradeweb Direct LLC, a Limited Liability Company, was formed on November 3, 1999 and is approved in all 50 U.S. states, Puerto Rico, and the District of Columbia. The firm has one SEC registration and 52 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

41

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Carlos Olivares’s Registration & Firm History

NY

02/03/2023 - Present

Tradeweb Direct LLC (NEW YORK NY)

NY

08/27/2018 - 05/21/2019

CLSA AMERICAS, LLC (NEW YORK NY)

NY

07/10/2017 - 08/10/2018

EMBONDS INC. (New York NY)

NY

06/21/2018 - 08/06/2018

BGC FINANCIAL, L.P. (NEW YORK NY)

NY

06/14/2010 - 01/26/2016

ING FINANCIAL MARKETS LLC (NEW YORK NY)

NY

03/29/2010 - 06/07/2010

CANTOR FITZGERALD & CO. (NEW YORK NY)

NY

09/04/2007 - 03/24/2009

ING FINANCIAL MARKETS LLC (NEW YORK NY)

NY

06/14/2006 - 09/04/2007

VECTORMEX INCORPORATED (NEW YORK NY)

NY

11/19/2001 - 06/15/2006

IDB CAPITAL CORP. (NEW YORK NY)

NY

01/08/2001 - 08/30/2001

CBNY INVESTMENT SERVICES CORP. (NEW YORK NY)

NY

08/25/1999 - 07/05/2000

QUICK & REILLY, INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 09/15/1999

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/26/2002

Series 24 - General Securities Principal Examination

BC

Issued 11/01/2000

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/13/2001

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/24/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Carlos Gonzalo Olivares. Review regulatory record here.
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