Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos F. Herrera is a financial advisor with over 18 years of experience in the financial services industry. He is currently registered with Morgan Stanley and is also licensed in 53 states. Carlos has a wide range of experience, having previously worked at J.P. MORGAN SECURITIES LLC, First Republic Securities Company, LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, MERRIMAN CURHAN FORD & CO., and ROBERTSON STEPHENS, INC. Carlos holds a variety of licenses and certifications, including the Series 7, Series 24, Series 55, and Series 63 licenses, as well as the Series 66 license and the SIE exam. Carlos is also a Certified Financial Planner. Carlos is committed to providing his clients with personalized financial advice and guidance.
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
CA
04/11/2024 - Present
Morgan Stanley (San Francisco CA)
CA
09/29/2023 - 03/16/2024
J.P. MORGAN SECURITIES LLC (San Francisco CA)
CA
02/21/2020 - 09/29/2023
FIRST REPUBLIC SECURITIES COMPANY, LLC (San Francisco CA)
CA
05/10/2019 - 02/13/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
08/18/2003 - 08/28/2008
MERRIMAN CURHAN FORD & CO. (SAN FRANCISCO CA)
CA
03/15/2000 - 07/09/2002
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
NY
10/22/1999 - 03/16/2000
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
CA
06/24/1994 - 10/15/1999
FIRST SECURITY VAN KASPER, INC. (SAN FRANCISCO CA)
NA
06/10/1993 - 12/14/1993
REYNOLDS KENDRICK STRATTON, INC.
BOTH
Issued 06/11/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/14/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/28/2005
Series 24 - General Securities Principal Examination
BC
Issued 05/10/2019
Series 7TO - General Securities Representative Examination
BC
Issued 03/22/2019
SIE - Securities Industry Essentials Examination
BC
Issued 02/03/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/09/1993
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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