Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Ferreira Gaspar has been in the securities industry since September 30, 1996. Carlos is currently registered with Nylife Securities LLC, a firm based in New York, NY. Carlos has experience with Edward Jones, BANC OF AMERICA INVESTMENT SERVICES, INC., FRED ALGER & COMPANY, INCORPORATED and L.C. WEGARD & CO., INC.. Carlos has passed several industry exams, including the Series 63, Series 24, SIE, Series 7 and Series 62 exams.
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.
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.
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2
NY
12/23/2008 - Present
Nylife Securities LLC (NEW YORK NY)
MO
10/03/2008 - 11/18/2008
EDWARD JONES (ST. LOUIS MO)
NJ
11/20/2006 - 11/30/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHATHAM NJ)
NY
05/20/1994 - 11/29/2004
FRED ALGER & COMPANY, INCORPORATED (NEW YORK NY)
NY
10/06/1992 - 12/22/1993
L.C. WEGARD & CO., INC. (NEW YORK NY)
NA
05/22/1992 - 09/16/1992
SOUTH RICHMOND SECURITIES, INC.
BC
Issued 05/04/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/01/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/22/1992
Series 7 - General Securities Representative Examination
BC
Issued 04/16/1992
Series 62 - Corporate Securities Limited Representative Examination
Active
Inactive
F
FINRA
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