Carlos Prince, financial advisor Philadelphia PA
73 score

Carlos Prince

CRD Number: 5312820
Current Firm: Advice And Planning Services

Carlos Prince (CRD# 5312820) is an Investment Advisor Representative working at Advice And Planning Services in Philadelphia, PA and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Tiaa-cref Individual & Institutional Services, LLC Charlotte, NC Apr 2012 - Current 4
Tiaa Charlotte, NC Apr 2012 - Current 4
Expertplan, Inc. East Windsor, NJ Jan 2012 - Mar 2012 < 1
Efc Financial Services, LLC East Windsor, NJ Jan 2012 - Mar 2012 < 1
Td Ameritrade Radnor, PA Dec 2009 - Dec 2011 2
Fidelity Investments Covington, KY Mar 2007 - Dec 2009 2
Sprint Nextel Corporation Mason, OH Oct 2005 - Jan 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 2007
S66 NASAA Uniform Combined State Law Examination Dec 2008
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Carlos A. Prince
Phone Number: 212-490-9000
Firm Website: http://www.tiaa.org
Registered State(s):
  • PA
By the Numbers
  • Total Assets Under Management
    16,792
    MILLIONS
  • Total Number of Accounts
    45,960
    ACCOUNTS
  • Average Account Value
    $365,356
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

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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BADGES
73

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