Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carmen? Claim Your ProfileCarmen Lee Davis dye is a financial professional with over 30 years of experience in the securities industry. Carmen has a strong background in the financial services industry, having worked at various firms including Sutro & Co. Incorporated, Wedbush Morgan Securities Inc. and Atlas Securities, LLC. Carmen is currently a Registered Representative at Wedbush Securities Inc., where has been employed since 2008. Carmen holds the Series 7, Series 24, Series 63 and Series 99TO licenses. Carmen is registered to provide investment advice in California.
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.
1
2
CA
10/28/2008 - Present
Wedbush Securities Inc. (LOS ANGELES CA)
CA
11/15/2004 - 05/31/2007
ATLAS SECURITIES, LLC (SAN LEANDRO CA)
TX
03/03/2004 - 10/27/2004
THE (WILSON) WILLIAMS FINANCIAL GROUP (DALLAS TX)
CA
12/21/1994 - 12/12/2001
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
CA
12/11/1987 - 10/03/1994
WEDBUSH MORGAN SECURITIES INC. (LOS ANGELES CA)
BC
Issued 03/27/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
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
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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