Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Bautista is a financial advisor with EP Wealth Advisors. Carlos has been in the financial services industry for over 20 years. Carlos is a Certified Financial Planner™ and a Chartered Financial Consultant. Carlos has experience working with individuals, families, and businesses. Carlos is registered to provide investment advice in California, Colorado, and Texas.
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.
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.
Retirement plan advisory services & tax preparation 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.
A percentage of the total value of assets under management is charged.
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CA
07/10/2024 - Present
EP Wealth Advisors (TORRANCE CA)
CO
05/15/2018 - 12/18/2020
MML INVESTORS SERVICES, LLC (DENVER CO)
NY
01/12/2015 - 03/05/2018
MBSC SECURITIES CORPORATION (NEW YORK NY)
CO
08/15/2011 - 01/05/2015
TRANSAMERICA CAPITAL, INC. (DENVER CO)
CO
01/06/2010 - 08/10/2011
CURIAN CLEARING, LLC (DENVER CO)
TN
01/05/2007 - 12/31/2009
JACKSON NATIONAL LIFE DISTRIBUTORS LLC (FRANKLIN TN)
TN
01/10/2006 - 12/31/2006
JACKSON NATIONAL LIFE DISTRIBUTORS LLC (FRANKLIN TN)
WI
05/07/2003 - 12/31/2005
INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)
CO
04/17/2002 - 04/04/2003
TRANSAMERICA CAPITAL, INC. (DENVER CO)
NY
03/05/2001 - 04/08/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 11/13/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/02/2001
Series 7 - General Securities Representative Examination
Active
Inactive
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