Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolina? Claim Your ProfileCarolina Mata is an investment professional with over 15 years of experience in the financial industry. She is a registered representative with Wells Fargo Clearing Services, LLC, and holds Series 6, 7, 63, and 66 licenses. Carolina previously worked with TD Ameritrade, Inc. and HSBC Securities (USA) Inc. Carolina holds Series 6, 7, 63, and 66 licenses and has a proven track record of success in providing financial advice to a wide range of clients, including individuals, families, and businesses. Carolina is committed to providing personalized financial guidance and helping clients achieve their financial goals.
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.
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.
Investment consulting services to institutional clients
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
NC
12/13/2023 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
NC
05/11/2022 - 08/29/2023
TD AMERITRADE, INC. (Charlotte NC)
NC
02/24/2014 - 10/11/2021
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
NJ
04/05/2012 - 02/14/2014
NYLIFE SECURITIES LLC (SOUTH PLAINFIELD NJ)
NJ
03/08/2011 - 03/26/2012
HSBC SECURITIES (USA) INC. (FLORHAM PARK NJ)
NJ
05/17/2006 - 09/07/2007
PNC INVESTMENTS (NORTH BRUNSWICK NJ)
MA
10/20/2004 - 09/28/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
05/28/2003 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
GA
08/16/2002 - 12/12/2002
PFS INVESTMENTS INC. (DULUTH GA)
BOTH
Issued 09/25/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/21/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/2014
Series 7 - General Securities Representative Examination
BC
Issued 03/07/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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