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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Manuel Noriega is a financial advisor with Morgan Stanley. Carlos has over 20 years of experience in the financial services industry. Carlos is a Certified Financial Planner™ professional and holds the Series 7, 24, 26, 55, 63, 65 and SIE licenses. Carlos has worked for several firms over the years including Prudential Investment Management Services LLC, Foresters Financial Services, Inc. and AXA Advisors, LLC. Carlos also has experience as a FINRA Arbitrator. Carlos is registered to provide investment advice in New Jersey and New York.
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
NY
06/16/2021 - Present
Morgan Stanley (New York NY)
NJ
01/19/2012 - 03/22/2019
FORESTERS FINANCIAL SERVICES, INC. (EDISON NJ)
NJ
01/10/2011 - 01/11/2012
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
TX
03/03/2010 - 12/15/2010
SUMMITALLIANCE SECURITIES, L.L.C. (DALLAS TX)
NY
04/24/2008 - 11/02/2009
AXA ADVISORS, LLC (NEW YORK NY)
NC
01/20/2005 - 04/21/2008
AXA DISTRIBUTORS, LLC (CHARLOTTE NC)
NY
03/27/2003 - 05/13/2003
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
11/20/2002 - 01/02/2003
HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.C. (NEW YORK NY)
CT
04/26/2000 - 12/31/2002
SCHWAB CAPITAL MARKETS L.P. (STAMFORD CT)
NJ
04/07/1999 - 04/19/2000
ALL-TECH DIRECT, INC. (MONTVALE NJ)
NE
08/31/1998 - 01/22/1999
DATEK ONLINE BROKERAGE SERVICES CORP. (OMAHA NE)
IA
Issued 02/23/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/18/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/21/2007
Series 24 - General Securities Principal Examination
BC
Issued 04/12/2006
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/29/1998
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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