Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Daniel Figueroa is a financial advisor with J.p. Morgan Securities LLC. Carlos has been in the industry since March 15, 2013. Carlos holds Series 6, 7, 63 and 66 securities licenses and is registered in 10 states. Carlos Figueroa is also a Small Arms Marksmanship Instructor in the United States Navy Reserve. Carlos specializes in the investment needs of individuals, businesses, corporations, high net worth individuals, labor unions, insurance companies, charitable organizations, and pension plans. Carlos is committed to providing his clients with the highest quality financial advice and 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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
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2
AZ
10/23/2020 - Present
J.p. Morgan Securities LLC (TUCSON AZ)
AZ
03/04/2013 - 08/11/2020
WELLS FARGO CLEARING SERVICES, LLC (TUCSON AZ)
BOTH
Issued 10/16/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/28/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2016
Series 7 - General Securities Representative Examination
BC
Issued 03/01/2013
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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