Carlos NoriegaCRD Number: 3091070
Current Firm: Foresters Advisory Services, LLC
Carlos Noriega (CRD# 3091070) is an Investment Advisor Representative working at Foresters Advisory Services, LLC in Edison, NJ and has over 19 years of experience in the finance industry. Carlos Noriega has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Legacy Care Wealth, LLC
Axa Advisors, LLC
|Foresters Financial Services, Inc.||Edison, NJ||Mar 2013 - Current||4|
|Foresters Advisory Services, LLC||Edison, NJ||Aug 2012 - Current||5|
|First Investors Corporation||Edison, NJ||Jan 2012 - Mar 2013||1|
|The Prudential Insurance Company Of America||Newark, NJ||Jan 2011 - Jan 2012||1|
|Prudential Investment Management Services LLC||Newark, NJ||Jan 2011 - Jan 2012||1|
|Summitalliance Securities||Dallas, TX||Mar 2010 - Dec 2010||< 1|
|Hsw Distributors||Addison, TX||Oct 2009 - Dec 2010||1|
|Axa Advisors,llc||New York, NY||Apr 2008 - Oct 2009||1|
|Axa Distributors, LLC||New York, NY||Jan 2005 - Apr 2008||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1998|
|S65||NASAA Investment Advisors Law Examination||Feb 2009|
Total Assets Under Management996MILLIONS
Total Number of Accounts5,500ACCOUNTS
Average Account Value$181,082
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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