Individual Firm
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CARLOS ALBERTO ESTEVES
CARLOS A ESTEVES, CARLOS ESTEVES
CRD#: 1910540
IA
B
WELLS FARGO ADVISORSCRD#: 19616 29 PRINCETON HIGHTSTOWN RD
EAST WINDSOR, NJ 08520
EAST WINDSOR, NJ 08520
0
Disclosures
34
Years of Experience
View By:
State Registrations
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Alabama 11/2/2022
B
New Jersey 2/22/2013
B
Arizona 3/17/2023
IA
New Jersey 2/22/2013
B
California 9/23/2020
B
New Mexico 12/9/2021
B
Connecticut 12/6/2022
B
New York 2/22/2013
B
Delaware 2/26/2020
B
North Carolina 1/3/2014
B
Florida 2/22/2013
B
Ohio 7/10/2023
B
Georgia 9/1/2020
B
Oklahoma 9/23/2020
B
Illinois 7/10/2024
B
Pennsylvania 2/22/2013
B
Louisiana 10/15/2024
B
South Carolina 5/8/2017
B
Maine 9/15/2021
B
Tennessee 1/4/2022
B
Maryland 11/2/2022
B
Texas 12/17/2014
B
Massachusetts 2/13/2019
IA
Texas 12/19/2014
B
Michigan 7/10/2024
B
Utah 8/29/2023
B
Minnesota 7/10/2024
B
Virginia 2/2/2015
B
Mississippi 11/21/2023
B
West Virginia 7/10/2024
SRO Registrations
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B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 2/22/2013
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Registered with this firm since 2/22/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/27/2010 - 02/22/2013 | PLAINSBORO, NJ | |
B | 01/27/2010 - 02/22/2013 | PLAINSBORO, NJ | |
IA | 03/11/2009 - 01/11/2010 | ROSELAND, NJ | |
B | 02/20/2009 - 01/11/2010 | ROSELAND, NJ | |
IA | 08/31/2006 - 12/18/2008 | NEWARK, NJ | |
B | 08/17/2006 - 12/18/2008 | NEWARK, NJ | |
B | 01/20/2006 - 07/13/2006 | CHERRY HILL, NJ | |
IA | 08/26/2002 - 10/12/2005 | CRANFORD, NJ | |
B | 01/01/1997 - 10/12/2005 | NEWARK, NJ | |
B | 10/29/1992 - 01/01/1997 | NEW YORK, NY | |
B | 11/15/1989 - 11/27/1992 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.