Carlos Curiel

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2019-05-28
TX	RA	APPROVED	2019-05-28

CA RA
APPROVED

Since 2019-05-28
TX RA
APPROVED

Since 2019-05-28

Branch Locations

San Jose, CA • United States

99 Almaden Blvd #925, San Jose, CA 95113 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Foresters Financial Services	San Jose	CA	01/2003	05/2019
Self Employed	San Jose	CA	11/2011	05/2019
Foresters Advisory Services	San Jose	CA	02/2014	05/2019
Lpl Financial	San Jose	CA	05/2019	Present

01/2003 → 05/2019

Foresters Financial Services

San Jose, CA
11/2011 → 05/2019

Self Employed

San Jose, CA
02/2014 → 05/2019

Foresters Advisory Services

San Jose, CA
05/2019 → Present

Lpl Financial

San Jose, CA

Previous Registrations

2014-02-18 → 2019-05-29

Foresters Advisory Services, Llc

San Jose, CA

Other Businesses

1)05/28/2019 - DBA for LPL Business (entity for LPL business) - Sequoia Wealth Advisors & Investment Management Investment Management Inc. - 100% - INVESTMENT RELATED - SAN JOSE, CA 95113

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-01-10
S63	Uniform Securities Agent State Law Examination	2003-02-26

S66 Uniform Combined State Law Examination

2014-01-10
S63 Uniform Securities Agent State Law Examination

2003-02-26

View on SEC IAPD