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Carlos Wayne Fuentes

Apex Clearing Corp.

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About Carlos Wayne Fuentes

Carlos Wayne Fuentes is a financial professional with over 10 years of experience in the financial services industry. Carlos is currently registered with Apex Clearing Corp. and holds Series 7, Series 63, Series 66, and SIE licenses. Previously, Carlos was registered with Avantax Investment Services, Inc., 1ST GLOBAL CAPITAL CORP., and Fidelity Brokerage Services LLC. Carlos's expertise and experience make him well-suited to help individuals and families achieve their financial goals.

Firm Information

Carlos Fuentes is currently registered with Apex Clearing Corp.. Apex Clearing Corp. is a corporation formed in December 1978. The firm is registered in 53 states and the District of Columbia and has 1 approved SEC registration. Apex Clearing Corp. has been subject to 47 regulatory events and 8 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

126

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Carlos Fuentes’s Registration & Firm History

TX

03/11/2022 - Present

Apex Clearing Corp. (DALLAS TX)

TX

10/25/2019 - 02/17/2022

AVANTAX INVESTMENT SERVICES, INC. (DALLAS TX)

TX

02/22/2018 - 10/25/2019

1ST GLOBAL CAPITAL CORP. (DALLAS TX)

TX

12/14/2011 - 08/09/2017

FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)

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Licenses & Designations

BOTH

Issued 12/10/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/14/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/13/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

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

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Carlos Wayne Fuentes.
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