Unclaimed
Carlos Perales is a financial professional with over 16 years of experience in the industry. He is currently registered with Vanguard Marketing Corp. in Scottsdale, Arizona. Carlos is a Series 7, Series 6, Series 63 and Series 24 licensed professional. Previous employers include WM Financial Services, Inc. and Davis Distributors, LLC.
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.
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.
1
2
AZ
06/29/2011 - Present
Vanguard Marketing Corp. (SCOTTSDALE AZ)
NV
10/21/2004 - 01/03/2007
WM FINANCIAL SERVICES, INC. (LAS VEGAS NV)
AZ
06/27/2001 - 05/14/2004
DAVIS DISTRIBUTORS, LLC (TUCSON AZ)
BC
Issued 07/14/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/09/2022
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/2011
Series 7 - General Securities Representative Examination
BC
Issued 06/26/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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