Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Javier Neira is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Carlos has been in the industry since October 18, 2003. Carlos has earned several industry licenses and designations, including Series 7, Series 9, Series 10, Series 31, Series 63, and Series 66. Carlos specializes in providing investment advisory services to high-net-worth individuals, corporations, and other businesses. Carlos has extensive experience in portfolio management, financial planning, and retirement planning. Carlos is committed to providing his clients with personalized service and helping them achieve their financial goals. Carlos has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since June 7, 2002, and has been registered with the state of Florida since April 20, 2005. Carlos is a member of the Financial Industry Regulatory Authority (FINRA).
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
01/17/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MIAMI FL)
NY
06/07/2002 - 01/14/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 03/04/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/28/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/08/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/07/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/2016
Series 31 - Futures Managed Funds Examination
BC
Issued 06/06/2002
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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