linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Carlos Luis Cortez

Charles Schwab & CO., Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Carlos? Claim Your Profile

About Carlos Luis Cortez

Carlos Cortez is a financial advisor with Charles Schwab & Co., Inc. in Westlake, Texas. Carlos has been working in the financial services industry since 1997. Carlos has a Series 6, 7, 63, and 65 license and is also a registered Investment Advisor representative in Texas.

Firm Information

Carlos Cortez is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

other

Asset based fees for wrap pgrms & subsc pricing for fin planning

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Carlos Cortez’s Registration & Firm History

TX

11/10/2021 - Present

Charles Schwab & CO., Inc. (Shavano Park TX)

TX

09/09/2021 - 09/20/2021

VICTORY CAPITAL SERVICES, INC. (San Antonio TX)

TX

10/22/2009 - 01/13/2021

USAA INVESTMENT SERVICES COMPANY (SAN ANTONIO TX)

TX

09/21/2007 - 10/22/2009

USAA FINANCIAL ADVISORS, INC. (SAN ANTONIO TX)

TX

08/21/2006 - 12/31/2007

USAA INVESTMENT MANAGEMENT COMPANY (SAN ANTONIO TX)

TX

01/02/2004 - 08/21/2006

USAA FINANCIAL ADVISORS, INC. (SAN ANTONIO TX)

TX

09/25/1997 - 12/31/2003

USAA INVESTMENT MANAGEMENT COMPANY (SAN ANTONIO TX)

MN

06/26/1997 - 09/12/1997

MIMLIC SALES CORPORATION (ST. PAUL MN)

Not sure if Carlos Luis Cortez is right for you?

Licenses & Designations

IA

Issued 09/24/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/30/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/18/1999

Series 7 - General Securities Representative Examination

BC

Issued 06/25/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Carlos Luis Cortez.
Not sure if Carlos Luis Cortez is right for you?