Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Manuel Chapa is a financial advisor registered with Osaic Institutions, Inc. Carlos has been working in the financial industry since 2008. Carlos holds multiple licenses and certifications including Series 6, 7, 63, and 66 as well as the SIE. Carlos has a strong background in financial planning and portfolio management for individuals. In the past, Carlos has worked with Merrill Lynch, BBVA Securities, and Frost Brokerage Services.
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.
Personalized portfolio management to meet individual financial objectives.
Solicitation services for other advisers
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.
A percentage of the total value of assets under management is charged.
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2
TX
04/23/2021 - Present
Osaic Institutions, Inc. (San Antonio TX)
TX
11/20/2019 - 02/26/2020
PFS INVESTMENTS INC. (LAREDO TX)
TX
09/16/2015 - 08/21/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GEORGETOWN TX)
TX
08/14/2014 - 08/03/2015
BBVA SECURITIES INC. (AUSTIN TX)
TX
07/01/2014 - 07/16/2014
FROST BROKERAGE SERVICES, INC. (SAN ANTONIO TX)
TX
08/22/2012 - 07/07/2014
LPL FINANCIAL LLC (SAN ANTONIO TX)
TX
07/27/2010 - 08/23/2012
CHASE INVESTMENT SERVICES CORP. (LAREDO TX)
TX
11/24/2009 - 06/15/2010
EDWARD JONES (LAREDO TX)
TX
06/30/2009 - 10/20/2009
BBVA COMPASS INVESTMENT SOLUTIONS, INC (LAREDO TX)
TX
04/23/2008 - 07/01/2009
BBVA INVESTMENTS INC. (LAREDO TX)
BOTH
Issued 03/09/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/05/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/21/2017
SIE - Securities Industry Essentials Examination
BC
Issued 01/04/2010
Series 7 - General Securities Representative Examination
BC
Issued 04/22/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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