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Carlos Ricardo Cabana

Castleoak Securities, LP

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About Carlos Ricardo Cabana

Carlos Ricardo Cabana is a registered representative with Castleoak Securities, LP. Carlos has been in the securities industry since October 26, 2008. Carlos is registered in New York, Tennessee and Texas. Carlos has passed the Series 3, 7, 55, 63, and SIE exams, and is a General Securities Principal. Carlos was previously registered with Topeka Capital Markets Inc., Cantor Fitzgerald & Co., Knight Capital Americas LLC, Knight Capital Americas, LP and Knight Direct LLC.

Firm Information

Carlos Cabana is currently registered with Castleoak Securities, LP. Castleoak Securities, LP is a Partnership formed in July 2004. It is registered with the SEC and is approved in all 50 states.

Not reported

Assets Under Management

Not reported

Total Clients

21

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 Cabana’s Registration & Firm History

NY

07/20/2016 - Present

Castleoak Securities, LP (NEW YORK NY)

NY

11/04/2013 - 06/03/2016

TOPEKA CAPITAL MARKETS INC. (NEW YORK NY)

NY

10/24/2012 - 05/29/2013

CANTOR FITZGERALD & CO. (NEW YORK NY)

NJ

07/02/2012 - 10/17/2012

KNIGHT CAPITAL AMERICAS LLC (JERSEY CITY NJ)

NJ

04/08/2008 - 07/02/2012

KNIGHT CAPITAL AMERICAS, L.P. (JERSEY CITY NJ)

NJ

03/31/2008 - 10/12/2009

KNIGHT DIRECT LLC (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 04/18/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/04/2017

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/11/2009

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 07/03/2008

Series 3 - National Commodity Futures Examination

BC

Issued 03/28/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carlos Ricardo Cabana.
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