Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos A. Guerra is a financial advisor with Oppenheimer & Co. Inc. Carlos has been in the financial industry since 2001. Carlos previously worked at Morgan Stanley, Wells Fargo Clearing Services, LLC, J.P. Morgan Securities LLC, Chase Investment Services Corp., BANC ONE SECURITIES CORPORATION, and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Carlos is registered in California, Delaware, Iowa, Oklahoma, and Texas. Carlos holds the Series 6, 7, 63, 66 and SIE licenses.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
TX
10/16/2023 - Present
Oppenheimer & Co. Inc. (HOUSTON TX)
TX
05/13/2021 - 10/17/2023
MORGAN STANLEY (Houston TX)
TX
05/15/2015 - 05/17/2021
WELLS FARGO CLEARING SERVICES, LLC (HOUSTON TX)
TX
10/01/2012 - 05/27/2015
J.P. MORGAN SECURITIES LLC (HOUSTON TX)
TX
07/06/2005 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (HOUSTON TX)
IL
06/20/2003 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NY
01/02/2003 - 04/22/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IL
05/16/2001 - 10/11/2002
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
BOTH
Issued 01/03/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/23/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/2002
Series 7 - General Securities Representative Examination
BC
Issued 05/14/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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