Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carmen? Claim Your ProfileCarmen Lugo is a financial professional with over 20 years of experience in the industry. Carmen currently works as a registered representative at TD Securities (usa) LLC. Carmen has held prior roles at Soleil Securities Corporation, Fulcrum Global Partners LLC, C.E. Unterberg, Tobin (A California Limited Partnership), and Josephthal Lyon & Ross Incorporated. Carmen holds Series 4, 7, 63, 99, and SIE licenses.
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.
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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2
NY
03/06/2012 - Present
TD Securities (usa) LLC (NEW YORK NY)
NY
12/20/2005 - 01/05/2006
SOLEIL SECURITIES CORPORATION (NEW YORK NY)
NY
10/09/2001 - 01/03/2006
FULCRUM GLOBAL PARTNERS LLC (NEW YORK NY)
NY
01/14/1994 - 10/03/2001
C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) (NEW YORK NY)
NY
06/10/1993 - 11/19/1993
JOSEPHTHAL LYON & ROSS INCORPORATED (NEW YORK NY)
BC
Issued 11/04/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/21/1999
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/2012
Series 99 - Operations Professional Examination
BC
Issued 06/09/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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