Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Curiel is a financial advisor at LPL Financial LLC, located in SAN JOSE, CA. Carlos has been in the financial industry since January 2003 and has held previous positions with Foresters Financial Services, Inc. and UBS PaineWebber Inc.. Carlos is registered to provide investment advice and securities services in 14 states, including Arizona, California, Colorado, Florida, Hawaii, Idaho, Louisiana, Michigan, Nevada, Oregon, Texas, and Washington. Carlos holds the Series 63, 66, 7 and SIE licenses and is also a registered Investment Advisor Representative in California and Texas. Carlos specializes in providing financial planning, portfolio management, and consulting services to individuals, businesses, and charitable organizations.
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.
Consulting and other non-discretionary advisory 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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CA
05/28/2019 - Present
LPL Financial LLC (SAN JOSE CA)
CA
02/24/2003 - 05/29/2019
FORESTERS FINANCIAL SERVICES, INC. (SAN JOSE CA)
NJ
10/14/2002 - 11/18/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
BOTH
Issued 01/10/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/26/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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