Carlos Barbosa is a registered investment advisor, based in Guilford, CT, with 23 years of industry experience.
Location
Guilford, CT
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Carlos works full-time as a wholesaler for Horizon Investments, selling investment products since 2014. This activity is investment-related.
Employment History
Current Registrations
Quasar Distributors, LLC
January 2016 - Present · 10 yrs 3 mos
Quasar Distributors, LLCBroker
January 2016 - Present · 10 yrs 3 mos
Horizon Investments LLC
February 2015 - Present · 11 yrs 2 mos
Previous Registrations
Northern Lights Distributors, LLCBroker
February 2015 - December 2015 · 10 mos
First Trust Advisors LP
June 2012 - December 2014 · 2 yrs 6 mos
First Trust Portfolios L.P.Broker
September 2006 - December 2014 · 8 yrs 3 mos
American Skandia Marketing, INC.Broker
June 2006 - September 2006 · 3 mos
Allstate Distributors, L.L.C.Broker
June 2004 - June 2006 · 2 yrs
Banc One Securities CorporationBroker
February 2004 - June 2004 · 4 mos
Mfs/sun Life Financial Distributors, INC.Broker
February 2002 - January 2004 · 1 yr 11 mos
State Registrations3 states
MANCRI
AdvisorBroker
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.