Erick Carlos

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2007 → 05/2017
  Wells Fargo Bank Na
  Tucson, AZ
• 01/2011 → 11/2016
  Wells Fargo Advisors Llc
  Tucson, AZ
• 01/2011 → 06/2017
  Wells Fargo Clearing Services, Llc
  Tucson, AZ
• 06/2017 → 04/2019
  Visionpoint Advisory Group, Llc
  Dallas, TX
• 06/2017 → 09/2025
  Lpl Financial, Llc
  Dallas, TX
• 09/2025 → Present
  Raymond James Financial Services Advisors, Inc.
  Dallas, TX
• 09/2025 → Present
  Raymond James Financial Services, Inc.
  Dallas, TX
• 06/2023 → Present
  Southern Methodist University
  Dallas, TX

Previous Registrations

• 2019-04-26 → 2025-09-26
  Lpl Financial Llc
  Dallas, TX
  Mckinney, TX
  Dallas, TX
• 2017-06-05 → 2019-04-26
  Balefire, Llc
  Dallas, TX
• 2011-01-03 → 2017-06-08
  Wells Fargo Clearing Services, Llc
  Fort Worth, TX
  Benbrook, TX
  El Paso, TX
  Tucson, AZ
  Tucson, AZ
  Tucson, AZ
  Fort Worth, TX
  Haltom City, TX
• 2009-08-24 → 2011-01-03
  Wells Fargo Investments, Llc
  El Paso, TX

Other Businesses

(1) Name of Business: Address: 1849 Glen Wood Dr. , Grapevine , TX, 76051, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 04/30/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Co-owner of property (2) Name of Business: NEC CAPITAL, LLC Address: 1849 GLEN WOOD DR , GRAPEVINE , TX, 76051, United States Activity Type: Support Company - Owner Position/Title: Officer - CEO Investment Related: No Start Date: 07/04/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: MANAGER / OWNER (3) Name of Business: TEXAS PRIVATE WEALTH ADVISORS, LLC Address: 17304 Preston Rd Ste 800, Dallas, TX, 75252-5645, United States Activity Type: Support Company - Owner Position/Title: Independent Contractor, Other Investment Related: No Start Date: 03/24/2020 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41+ Description of duties: THIS IS OUR DBA AS OUR PRACTICE (4) Name of Business: Texas Private Wealth Insurance Group, LLC Address: 17304 Preston Rd Suite 800, Dallas, TX, 75252, United States Activity Type: Non-variable Insurance Position/Title: Broker, Agent, Owner Investment Related: Yes Start Date: 04/19/2023 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Insurance agency provides medical, vision, and dental benefits. Also can provide commercial liability insurance, auto and home insurance

Exams

• S66 Uniform Combined State Law Examination
  2009-08-20