Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Ramon Cartaya is a financial professional with over 30 years of experience in the industry. Carlos has a wide range of experience, having worked with Fidelity Brokerage Services, Inc. and Shearson Lehman Hutton Inc., before joining National Financial Services LLC. Carlos holds several licenses and certifications including the Series 7, Series 24, and Series 63, and the SIE and Series 99TO exams. Carlos is currently registered with FINRA.
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
TX
05/08/1990 - Present
National Financial Services LLC (WESTLAKE TX)
RI
09/22/1993 - 09/17/1999
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NY
10/25/1989 - 03/29/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
BC
Issued 12/18/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/11/1991
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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