Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Montoya is a financial professional with over two decades of experience in the industry. Carlos has a strong background in municipal securities, having held roles at both Merrill Lynch and Samuel A. Ramirez & Company, Inc. Carlos holds the Series 7, 50, 52TO, 53 and 63 licenses.
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.
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2
NY
11/09/2022 - Present
Samuel A. Ramirez & Company, Inc. (NEW YORK NY)
NY
04/08/2002 - 03/30/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/16/1995 - 03/01/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 11/22/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/16/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/08/2022
Series 52TO - Municipal Securities Representative Examination
BC
Issued 02/28/2017
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 10/13/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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