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. Penaherrera is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Carlos has been a financial advisor for over 10 years. Carlos has passed the Series 63, Series 66, Series 7, and SIE exams. Carlos is licensed in 13 states including Florida, Texas, Alabama, Connecticut, Georgia, Idaho, Massachusetts, New Jersey, New York, Pennsylvania, South Carolina, and Massachusetts. Carlos is a registered Investment Advisor Representative in Florida and Texas. Carlos specializes in providing financial and investment advice to individuals, families, and businesses. Carlos's experience and expertise can help you achieve your financial goals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
FL
06/16/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LARGO FL)
BOTH
Issued 02/08/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/18/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/2013
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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