Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos E Lopez is a financial advisor with over 20 years of experience in the financial services industry. Carlos is currently registered with Principal Securities, Inc. and is a Series 6, 7, 63 and SIE licensed professional. Previously, Carlos was associated with WELLS FARGO ADVISORS, LLC in St. Louis, MO, EVERGREEN INVESTMENT SERVICES, INC. in Charlotte, NC, CHARLES SCHWAB & CO., INC. in Westlake, TX, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED in New York, NY and BARCLAYS GLOBAL INVESTORS SERVICES in New York, NY. Carlos is a financial professional who specializes in investment management, financial planning and education seminars.
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.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
IA
05/07/2020 - Present
Principal Securities, Inc. (DES MOINES IA)
MO
07/20/2007 - 05/13/2009
WELLS FARGO ADVISORS, LLC (ST. LOUIS MO)
NC
04/05/2005 - 08/01/2005
EVERGREEN INVESTMENT SERVICES, INC. (CHARLOTTE NC)
TX
12/21/1999 - 04/23/2003
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
11/20/1997 - 04/06/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/12/1996 - 08/29/1997
BARCLAYS GLOBAL INVESTORS SERVICES (NEW YORK NY)
BC
Issued 11/07/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/06/2020
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 11/01/2019
SIE - Securities Industry Essentials Examination
BC
Issued 07/28/1997
Series 7 - General Securities Representative Examination
BC
Issued 09/11/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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