Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl Vincent Gottuso is a financial advisor based in Charlotte, NC. Carl has been working in the financial services industry since 1983. He is currently registered with IP Financial Advisory Services LLC, and is licensed to provide advisory services in California, Nevada, and Oklahoma. Carl has a diverse background in financial services. He has worked for a number of firms, including Crown Capital Securities, LP, Independent Financial Group, LLC, and Securities America, Inc. Carl is a dedicated financial advisor with a long history of providing financial guidance to individuals and businesses. He is committed to helping clients reach their financial goals through comprehensive financial planning, investment management, and retirement planning 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.
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 services to qualified retirement plans
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.
A percentage of the total value of assets under management is charged.
Recurring fees
1
2
NC
01/16/2025 - Present
IP Financial Advisory Services LLC (CHARLOTTE NC)
CA
07/01/2011 - 04/10/2024
CROWN CAPITAL SECURITIES, L.P. (ORANGE CA)
CA
03/31/2008 - 07/01/2011
INDEPENDENT FINANCIAL GROUP, LLC (CORONA CA)
CA
03/15/1995 - 03/26/2008
SECURITIES AMERICA, INC. (ANAHEIM HILLS CA)
NA
01/14/1993 - 02/01/1995
HAMILTON INVESTMENTS, INC.
WI
06/21/1991 - 01/08/1993
INVEST FINANCIAL CORPORATION (APPLETON WI)
NV
07/18/1989 - 12/18/1990
PACIFIC ASSET GROUP, INC. (RENO NV)
NA
10/29/1984 - 02/01/1989
PRUDENTIAL-BACHE SECURITIES INC.
NA
03/14/1983 - 10/19/1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
NA
12/18/1981 - 03/21/1983
IDS MARKETING CORPORATION
BOTH
Issued 01/23/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/27/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/1983
Series 7 - General Securities Representative Examination
BC
Issued 12/10/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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