Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joachim? Claim Your ProfileJoachim Cargas has been active in the financial industry since 2005. Joachim is currently registered with Bofa Securities, Inc. in California. Joachim has held previous positions with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Dresdner Kleinwort Wasserstein Securities LLC, Dresdner Kleinwort Wasserstein, Inc. and D'accord Financial Services, Inc.. Joachim is a licensed General Securities Principal.
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.
Research-related 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.
Negotiated fees for research-related services
1
2
CA
05/10/2019 - Present
Bofa Securities, Inc. (SAN FRANCISCO CA)
CA
11/15/2011 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
01/02/2001 - 12/13/2005
DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC (SAN FRANCISCO CA)
NY
06/08/2001 - 01/23/2002
DRESDNER KLEINWORT WASSERSTEIN, INC. (NEW YORK NY)
CA
07/13/1999 - 01/02/2001
D'ACCORD FINANCIAL SERVICES, INC. (SAN FRANCISCO CA)
BC
Issued 12/06/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/07/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/14/2011
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 07/12/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Joachim Cargas is the right advisor for you? Invested Better is here to help.
