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 Wealthpenn.comllc, a firm that provides investment advisory services to a wide range of clients. Carlos has been in the financial industry for over 18 years, and has held positions at several prominent firms, including J.P. Morgan Securities LLC, First Republic Securities Company, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Carlos is a Certified Financial Planner and holds Series 7, 24, 55, 63, and 66 licenses, demonstrating his expertise in the financial services industry. Carlos is committed to providing his clients with personalized financial advice and strategies to help them achieve their 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.
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
Wealthpenn.comllc (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 6/11/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 6/14/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 6/28/2005
Series 24 - General Securities Principal Examination
BC
Issued 5/10/2019
Series 7TO - General Securities Representative Examination
BC
Issued 3/22/2019
SIE - Securities Industry Essentials Examination
BC
Issued 2/3/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 6/9/1993
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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