Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luis? Claim Your ProfileLuis Sarmiento is a financial professional with over 6 years of experience in the industry. Luis is currently registered with Charles Schwab & CO., Inc. Luis is a Series 63, Series 66 and Series 7 licensed professional. Luis is licensed to provide financial advice in 33 states. Luis's previous employer was DAVID LERNER ASSOCIATES, INC.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
NJ
01/02/2019 - Present
Charles Schwab & CO., Inc. (Flemington NJ)
NJ
06/08/2017 - 04/12/2018
DAVID LERNER ASSOCIATES, INC. (LAWRENCEVILLE NJ)
BOTH
Issued 08/21/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/10/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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