Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Duque is a registered representative with Morgan Stanley. Carlos has been in the industry since December 16, 2008. Carlos is licensed in 42 states and has Series 7, Series 66, and SIE licenses. Carlos was previously employed by WELLS FARGO INVESTMENTS, LLC and WELLS FARGO ADVISORS, LLC. Carlos specializes in providing financial planning, portfolio management for individuals, investment companies, and businesses, educational seminars, asset allocation advice, and selection of other advisers.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
NM
02/11/2014 - Present
Morgan Stanley (Albuquerque NM)
NM
01/03/2011 - 03/04/2011
WELLS FARGO ADVISORS, LLC (RIO RANCHO NM)
NM
12/17/2008 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (RIO RANCHO NM)
BOTH
Issued 03/30/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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