Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Ricardo has been in the financial industry since 2000. Carlos is registered with J.P. Morgan Securities LLC and has been with the firm since March 2024. Prior to joining J.P. Morgan Securities LLC, Carlos was employed by MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and ROYAL ALLIANCE ASSOCIATES, INC.. Carlos is also registered with the state of Florida. Carlos provides portfolio management for individuals and businesses, financial planning, and selection of other advisors.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
FL
10/29/2024 - Present
J.p. Morgan Securities LLC (Boca Raton FL)
FL
07/27/2010 - 03/31/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DELRAY BEACH FL)
AZ
09/22/2003 - 02/23/2004
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
MI
01/24/2003 - 09/19/2003
H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)
NY
05/30/2001 - 01/24/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
FL
11/20/2000 - 03/30/2001
STERLING FINANCIAL INVESTMENT GROUP, INC. (BOCA RATON FL)
FL
02/09/2000 - 11/20/2000
JOSEPH CHARLES & ASSOC., INC. (BOCA RATON FL)
FL
09/08/1999 - 12/07/1999
JW GENESIS CLEARING CORP. (BOCA RATON FL)
FL
11/24/1997 - 04/06/1998
FIN-ATLANTIC SECURITIES, INC. (JUPITER FL)
BOTH
Issued 07/23/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/10/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/15/2000
Series 4 - Registered Options Principal Examination
BC
Issued 05/02/2000
Series 24 - General Securities Principal Examination
BC
Issued 05/22/2024
Series 7TO - General Securities Representative Examination
BC
Issued 04/15/2024
SIE - Securities Industry Essentials Examination
BC
Issued 07/26/2010
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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