Carlos Caban, financial advisor Garden City NY
93 score

Carlos Caban

CRD Number: 5333395
Current Firm: E*trade Capital Management, LLC

Carlos Caban (CRD# 5333395) is an Investment Advisor Representative working at E*trade Capital Management, LLC in Garden City, NY and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
E*trade Capital Management LLC Garden City, NY Jul 2016 - Current < 1
E*trade Securities LLC Garden City, NY Jul 2016 - Current < 1
Front Desk Garden City, NY Nov 2013 - Current 3
Td Ameritrade New York, NY Oct 2013 - Jul 2016 2
Nylife Distributors LLC Sleepy Hollow, NY May 2011 - Sep 2013 2
New York Life Insurance Company Sleepy Hollow, NY Apr 2011 - Sep 2013 2
Signator Investors, Inc. Melville, NY May 2007 - Apr 2011 3
Unemployed Baldwin, NY Aug 2006 - May 2007 < 1
Long Island Water Lynbrook, NY Aug 2003 - Aug 2006 3
Long Island Water Lynbrook, NY Aug 2003 - Aug 2006 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jan 2014
S63 Uniform Securities State Law Examination May 2007
Contact Info for Carlos Caban
Phone Number: 646-521-4453
Firm Website: https://www.etrade.com
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    3,199
    MILLIONS
  • Total Number of Accounts
    19,200
    ACCOUNTS
  • Average Account Value
    $166,610
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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