Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carmen? Claim Your ProfileCarmen Jo Fuller is a financial advisor with over 18 years of experience in the financial services industry. Carmen Jo is currently registered with Commonwealth Financial Network. Her previous experience includes roles at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wachovia Securities, LLC, and Prudential Securities Incorporated. Carmen Jo holds a Series 63, Series 65, and Series 7 licenses. Carmen Jo has also passed the Series 31 and the SIE exams. Carmen Jo Fuller specializes in providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and charitable organizations.
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.
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.
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CA
01/28/2019 - Present
Commonwealth Financial Network (Santa Cruz CA)
CA
09/07/2007 - 01/30/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN JOSE CA)
CA
07/01/2003 - 09/14/2007
WACHOVIA SECURITIES, LLC (SAN JOSE CA)
NY
06/19/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 09/28/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/06/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 06/18/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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