Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carmen? Claim Your ProfileCarmen Dolores Lugo is a registered investment advisor representative with Morgan Stanley. Carmen has been in the industry since 1993 and has been with Morgan Stanley since June 2009. Carmen holds the Series 7, Series 63, and Series 65 licenses. She is also registered with the state of Texas as an investment advisor representative. Previously, Carmen was a registered representative with CITIGROUP GLOBAL MARKETS INC., STANFORD GROUP COMPANY, PFS INVESTMENTS INC., and CS FIRST BOSTON 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Earned based on transactions or products sold.
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.
See schedule d miscellaneous
1
2
FL
09/24/2015 - Present
Morgan Stanley (Miami FL)
FL
06/01/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MIAMI FL)
TX
07/10/1997 - 01/31/2001
STANFORD GROUP COMPANY (HOUSTON TX)
GA
08/10/1995 - 12/31/1996
PFS INVESTMENTS INC. (DULUTH GA)
NY
06/04/1992 - 03/21/1995
CS FIRST BOSTON CORPORATION (NEW YORK NY)
IA
Issued 11/03/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/14/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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