Best Investors Account Sign in
Inactive

Carlos Caban

Fisher Investments

Tampa, FL

Plano, TX

Claim This Profile
Current Employers
Fisher Investments

6500 International Pkwy Ste 2050, Plano, TX 75093-8222 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-04-16
TX RA APPROVED_RES 2024-04-12
  • FL RA
    APPROVED
    Since 2024-04-16
  • TX RA
    APPROVED_RES
    Since 2024-04-12

Branch Locations

3109 W Martin L King Jr Blvd Ste 600, Tampa, FL 33607 • United States

6500 International Pkwy Ste 2050, Plano, TX 75093-8222 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Front Desk Garden City NY 11/2013 03/2020
E*Trade Securities Llc Garden City NY 07/2016 08/2023
E*Trade Capital Management Llc Garden City NY 07/2016 08/2023
Morgan Stanley Garden City NY 03/2023 08/2023
Fideltiy Investments Garden City NY 09/2023 03/2024
Fisher Investments Tampa FL 04/2024 Present
  • 11/2013 → 03/2020
    Front Desk
    Garden City, NY
  • 07/2016 → 08/2023
    E*Trade Securities Llc
    Garden City, NY
  • 07/2016 → 08/2023
    E*Trade Capital Management Llc
    Garden City, NY
  • 03/2023 → 08/2023
    Morgan Stanley
    Garden City, NY
  • 09/2023 → 03/2024
    Fideltiy Investments
    Garden City, NY
  • 04/2024 → Present
    Fisher Investments
    Tampa, FL
Previous Registrations
  • 2023-09-15 → 2024-03-15
    Fidelity Personal And Workplace Advisors
    Garden City, NY
  • 2016-07-13 → 2023-08-21
    Harrisdirect Llc
    Garden City, NY
    Arlington, VA
    Garden City, NY
  • 2014-01-28 → 2016-07-19
    Td Ameritrade, Inc.
    New York, NY
  • 2014-01-28 → 2016-07-19
    Td Ameritrade Investment Management, Llc
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-01-24
S63 Uniform Securities Agent State Law Examination 2007-05-14
  • S66 Uniform Combined State Law Examination
    2014-01-24
  • S63 Uniform Securities Agent State Law Examination
    2007-05-14

View on SEC IAPD

Other Firms

STRATEGIC WEALTH INVESTMENT GROUP, LLC
INDEPENDENT ADVISOR ALLIANCE, LLC
UNITED CAPITAL FINANCIAL ADVISORS
FLORIDA FINANCIAL ADVISORS, LLC
AE WEALTH MANAGEMENT, LLC
INDEPENDENT FINANCIAL PARTNERS
TRUADVISORS
AMERICAN FAMILY LEGACY GROUP

Other Investors

PETER CASEY GAYLE
John Luke Robinson
MICHAEL MOFFA
JANET L CHRISTIANSEN
MATTHEW VERSAGE
Martin Adolfo Montana
Frank Cooper Finley
Jeferson Josue Velasquez

Other Offices

STRATEGIC WEALTH INVESTMENT GROUP, LLC · Tampa, FL
INDEPENDENT ADVISOR ALLIANCE, LLC · Tampa, FL
UNITED CAPITAL FINANCIAL ADVISORS · TAMPA, FL
FLORIDA FINANCIAL ADVISORS, LLC · Tampa, FL
AE WEALTH MANAGEMENT, LLC · Tampa, FL
INDEPENDENT FINANCIAL PARTNERS · TAMPA, FL
TRUADVISORS · TAMPA, FL
AMERICAN FAMILY LEGACY GROUP · TAMPA, FL

More in Tampa, FL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor