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Detailed Report
Carlos Joshua Arteaga
CARLOS JOSHUA ARTEAGA, Carlos J Arteaga
CRD#: 6233790
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 Gahanna, OH
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2015 - 2018 (3 years)3 FIRMS2019 - 2019 (<1 year)2 FIRMS2019 - Present (5 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2013 - 2014 (<1 year)
Disclosure(s)
View By:
1/3/2022
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Florida 2/22/2021
B
Ohio 10/21/2019
B
Indiana 10/21/2019
IA
Ohio 10/21/2019
B
Kentucky 10/21/2019
B
Pennsylvania 10/21/2019
B
Michigan 2/6/2020
B
West Virginia 2/6/2020
B
New York 5/15/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
Gahanna, OH
6500 Emerald Parkway Offices: 106, 107, 108, 109, 112, 117, DUBLIN, OH 43016
Registered with this firm since 10/21/2019
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
Gahanna, OH
6500 Emerald Parkway Offices: 106, 107, 108, 109, 112, 117, DUBLIN, OH 43016
Registered with this firm since 10/21/2019
Previous Registration(s)
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IA
 03/06/2019 - 09/10/2019 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Dublin, OH
IA
 03/06/2019 - 09/10/2019 TD AMERITRADE, INC. (CRD#:7870) DUBLIN, OH
B
 03/11/2019 - 09/10/2019 TD AMERITRADE, INC. (CRD#:7870) DUBLIN, OH
IA
 08/28/2015 - 08/08/2018 NATIONWIDE INVESTMENT ADVISORS, LLC (CRD#:142373) COLUMBUS, OH
B
 01/13/2015 - 08/08/2018 NATIONWIDE INVESTMENT SERVICES CORPORATION (CRD#:7110) COLUMBUS, OH
B
 10/15/2013 - 07/11/2014 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) COVINGTON, KY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.