Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erwin? Claim Your ProfileErwin Prieto has been in the financial industry since December 19, 2002. Erwin is currently registered with Equity Services, Inc. as a Registered Representative and Investment Advisor Representative. Erwin has previously worked for MML Investors Services, LLC, Park Avenue Securities LLC, Chase Investment Services Corp., WAMU Investments, Inc., Farmers Financial Solutions, LLC, Atlas Securities, LLC, and Northwestern Mutual Investment Services, LLC. Erwin holds the Series 6, 7, 63, 65, 52, 9, 10, 24 and SIE licenses. Erwin specializes in providing financial planning, pension consulting, educational seminars, and portfolio management services to individuals and charitable organizations. Erwin is also a licensed insurance agent and sells life, disability, long-term care, fixed annuity, and health insurance products.
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.
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
04/21/2023 - Present
Equity Services, Inc. (IRVINE CA)
CA
10/07/2013 - 07/15/2021
MML INVESTORS SERVICES, LLC (NEWPORT BEACH CA)
CA
12/01/2010 - 09/16/2013
PARK AVENUE SECURITIES LLC (DIAMOND BAR CA)
CA
05/02/2009 - 11/17/2010
CHASE INVESTMENT SERVICES CORP. (CHINO HILLS CA)
CA
07/24/2008 - 05/02/2009
WAMU INVESTMENTS, INC. (MIRA LOMA CA)
CA
07/11/2007 - 07/25/2008
FARMERS FINANCIAL SOLUTIONS, LLC (CARLSBAD CA)
CA
12/12/2002 - 02/16/2007
ATLAS SECURITIES, LLC (SAN LEANDRO CA)
WI
09/20/2000 - 12/13/2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)
IA
Issued 10/25/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/14/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/03/2022
Series 24 - General Securities Principal Examination
BC
Issued 11/03/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/03/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 11/03/2022
Series 7TO - General Securities Representative Examination
BC
Issued 11/03/2022
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/2005
Series 7 - General Securities Representative Examination
BC
Issued 09/19/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Erwin Prieto is the right advisor for you? Invested Better is here to help.
