Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carla? Claim Your ProfileCarla Maria Romero Smith is an investment advisor representative with Avantax Advisory Services. Carla has been in the financial services industry since February 24, 1999. Carla holds the Series 6, SIE, and Series 63 licenses. Carla is registered with the state of New York as an investment advisor representative. Carla is also registered with the state of Florida, Georgia, New Jersey, New York, North Carolina, and Ohio. Carla is a fiduciary and trustee for several clients. In addition, Carla is the owner of RomeroSmith Solutions, which provides tax preparation and accounting 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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
Solicitor fees
1
2
NY
08/25/2021 - Present
Avantax Advisory Services (NORTH BALDWIN NY)
IL
02/24/1999 - 10/17/2001
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
BC
Issued 04/15/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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