Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Diaz is a financial advisor with Fidelity Personal And Workplace Advisors, where Carlos has been registered since January 2023. Carlos has been in the industry since November 2017 and has a wide range of experience in the financial services industry. Carlos holds the Series 6, 7TO, 63, and 66 licenses, as well as the SIE certification. Carlos is also registered as an investment advisor representative in Texas.
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.
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.
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.
1
2
TX
01/31/2023 - Present
Fidelity Personal AND Workplace Advisors (HOUSTON TX)
TX
10/31/2017 - 01/18/2023
WELLS FARGO CLEARING SERVICES, LLC (THE WOODLANDS TX)
BOTH
Issued 10/28/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/09/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/29/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/2017
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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