Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Tomas Gomezlopez is a financial advisor with over 20 years of experience in the industry. Carlos holds licenses in several states, including New York. Carlos is currently registered with Hsbc Securities (usa) Inc. Carlos is a licensed professional with a variety of certifications, including SIE, Series 7, Series 86, and Series 87. Carlos has worked at other firms in the past, including Credit Suisse First Boston Corporation and Paribas Corporation.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
NY
06/07/2013 - Present
Hsbc Securities (usa) Inc. (NEW YORK NY)
NY
08/18/1997 - 11/20/1998
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
NY
12/17/1993 - 07/30/1997
PARIBAS CORPORATION (NEW YORK NY)
BC
Issued 06/18/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/2013
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 07/22/2013
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 06/06/2013
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
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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