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
Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.
Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.
If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!
Finding a Financial Advisor through Wealthminder
Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.
The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.
Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.
You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.
Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.
Advisor profile scores displayed on this site are derived using the following criteria. Step 1: An advisor profile rating starts with a baseline score of 90 points. Step 2: The advisor score is increased from the baseline after screening for 3 criteria: years of experience, industry credentials and completeness of profile. Step 3: The advisor score is decreased after screening for publicly available disclosure events such as litigation or regulatory matters. Such decreases relate to the existence of a disclosure and, in most cases, do not account for timing, magnitude or severity of such disclosure. Many other factors are not considered in the scoring such as financial stability, fees, affiliations and educational background, and you should carefully consider these factors. The criteria are based on information Wealthminder deems helpful and available at the time of the scoring. Scores do not vary based on qualitative feedback from users. Advisor presentation and visibility and allocation of proposals will vary for advisors who pay a marketing plan program fee. Wealthminder does not recommend or provide any warranty or guarantee of the quality or suitability of any specific advisor or products or services offered by such advisor. Please consult regulatory sites for additional information about advisors’ background.