Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos A. Escobar is a financial advisor who has been in the industry since 1993. Carlos A. Escobar is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in California, Georgia, and Texas. Carlos A. Escobar has previously been registered with BANC OF AMERICA INVESTMENT SERVICES, INC., BA INVESTMENT SERVICES, INC., SEPULVEDA & SMITH SECURITIES, INC., SMITH BARNEY SHEARSON INC., and LEHMAN BROTHERS INC.
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
CA
02/15/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PASADENA CA)
CA
07/12/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CITY OF COMMERCE CA)
CA
10/12/1994 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
CA
02/03/1994 - 10/14/1994
SEPULVEDA & SMITH SECURITIES, INC. (LONG BEACH CA)
NY
07/31/1993 - 12/20/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
04/15/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 9/16/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/12/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/6/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 4/9/2003
Series 4 - Registered Options Principal Examination
BC
Issued 8/8/1994
Series 27 - Financial and Operations Principal Examination
BC
Issued 4/4/1994
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/24/1993
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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