Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erick? Claim Your ProfileErick Carlos is a financial advisor with LPL Financial LLC, a firm with over 1900,000 total client accounts and $463,475,486,343 in total regulatory assets under management. Erick is licensed in Texas and is registered with the Securities and Exchange Commission (SEC). He has been in the financial services industry since 2009. Erick works at the Dallas, Texas branch of LPL Financial LLC, where he focuses on providing financial planning, portfolio management, and other financial services to individuals, families, and businesses. He is a registered representative, which means that he is able to buy and sell securities for his clients. He also provides advisory services, which means that he can provide investment advice to his clients. Erick has a strong track record of success in helping his 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.
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.
Consulting and other non-discretionary advisory services
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
TX
04/26/2019 - Present
LPL Financial LLC (DALLAS TX)
TX
01/03/2011 - 06/08/2017
WELLS FARGO CLEARING SERVICES, LLC (HALTOM CITY TX)
TX
06/22/2009 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (EL PASO TX)
BOTH
Issued 08/20/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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