Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Valentin Munoz is a financial advisor with over 25 years of experience in the securities industry. Carol currently works at Wedbush Securities Inc. and is registered to provide securities advice in Arizona, California, Nevada, North Carolina, South Carolina, Utah, and Washington. Prior to working at Wedbush Securities Inc. Carol worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Paine Webber Inc., and Dean Witter Reynolds Inc. Carol is also Series 63, SIE, Series 7 and Series 62 licensed.
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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2
CA
02/03/2009 - Present
Wedbush Securities Inc. (LA JOLLA CA)
CA
10/11/2002 - 01/02/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LA JOLLA CA)
NJ
12/15/1999 - 10/22/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
12/07/1998 - 12/16/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IL
03/16/1995 - 10/14/1998
JOHN DAWSON & ASSOCIATES, INC. (CHICAGO IL)
BC
Issued 03/31/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1999
Series 7 - General Securities Representative Examination
BC
Issued 03/15/1995
Series 62 - Corporate Securities Limited 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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