Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carey? Claim Your ProfileCarey Moy is an investment professional with over 30 years of experience in the financial industry. Carey has held registrations with a number of firms, including MML Investors Services, Inc., CUNA Brokerage Services, Inc., Investment Professionals, Inc. and USAA Investment Management Company. Currently, Carey is registered with LPL Financial LLC as a Registered Representative and Investment Advisor Representative. Carey holds the Series 6, 7, 24, 63 and 65 securities licenses. Carey works primarily with high net worth individuals, corporations and other businesses, as well as charitable organizations, and is known for providing financial planning, portfolio management and consulting services.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
TX
12/07/2018 - Present
LPL Financial LLC (SAN ANTONIO TX)
TX
07/17/2001 - 08/11/2006
MML INVESTORS SERVICES, INC. (SAN ANTONIO TX)
IA
11/19/1999 - 07/10/2001
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
TX
05/21/1997 - 11/12/1999
INVESTMENT PROFESSIONALS, INC. (SAN ANTONIO TX)
TX
02/17/1994 - 05/19/1997
USAA INVESTMENT MANAGEMENT COMPANY (SAN ANTONIO TX)
IA
Issued 11/26/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/18/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/29/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/11/1996
Series 7 - General Securities Representative Examination
BC
Issued 02/16/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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