Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolina? Claim Your ProfileCarolina Carvalho is a financial advisor with over 13 years of experience in the industry. Carolina has a strong background in securities trading and has worked for prominent firms like Deutsche Bank Securities Inc., ICAP Corporates LLC, and currently Citigroup Global Markets Inc. Carolina's expertise includes securities trading and financial planning. She is registered to provide investment advice in all 50 states and holds several securities licenses, including Series 3, 7, 55, 62, 57TO and SIE.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
NY
06/20/2012 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
NJ
05/11/2009 - 06/28/2010
ICAP CORPORATES LLC (JERSEY CITY NJ)
NY
01/01/2007 - 12/31/2008
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
BC
Issued 10/05/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/03/2014
Series 3 - National Commodity Futures Examination
BC
Issued 06/01/2009
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/28/2006
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
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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