Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Alberto Esteves is a financial advisor with over 30 years of experience in the industry. Carlos has been with Wells Fargo Clearing Services, LLC since February 2013 and is registered with the state of New Jersey and Texas. Previously, Carlos worked for PNC Investments, Pruco Securities, LLC, Prudential Investment Management Services LLC, Mutual Service Corporation, and Prudential Securities Incorporated. Carlos's specializations include investment management, financial planning, and retirement planning. Carlos is a Certified Financial Planner™ and has earned the Series 6, Series 7, Series 63, and Series 65 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.
Investment consulting services to institutional clients
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.
1
2
NJ
12/19/2014 - Present
Wells Fargo Clearing Services, LLC (EAST WINDSOR NJ)
NJ
01/27/2010 - 02/22/2013
PNC INVESTMENTS (PLAINSBORO NJ)
NJ
02/20/2009 - 01/11/2010
PRUCO SECURITIES, LLC. (ROSELAND NJ)
NJ
08/17/2006 - 12/18/2008
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NJ
01/20/2006 - 07/13/2006
MUTUAL SERVICE CORPORATION (CHERRY HILL NJ)
NJ
01/01/1997 - 10/12/2005
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NY
10/29/1992 - 01/01/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
11/15/1989 - 11/27/1992
PRUDENTIAL MUTUAL FUND DISTRIBUTORS, INC.
IA
Issued 10/20/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/18/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/1992
Series 7 - General Securities Representative Examination
BC
Issued 11/14/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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