Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos T. Rodriguez is a financial professional with over 16 years of experience in the financial services industry. Carlos is currently registered with BNY Mellon Securities Corp. Prior to joining BNY Mellon Securities Corp. Carlos was employed at BEAR, STEARNS & CO. INC. and OPPENHEIMER & CO. INC. Carlos is licensed to offer securities and investment advice in 52 states. Carlos holds Series 3, 7, 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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Bnymsc sponsors a wrap fee program, and serves as a portfolio mgr or model provider to third party wrap program sponsors.
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.
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NY
10/10/2008 - Present
BNY Mellon Securities Corp. (New York NY)
NY
03/30/2007 - 09/19/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
11/09/2005 - 06/30/2006
OPPENHEIMER & CO. INC. (NEW YORK NY)
BC
Issued 11/18/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/23/2022
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/08/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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