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Juan Carlos Carrera

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Information

Other Names: Juan C Carrera
Firm:
Type: Dual Registration
Description

Juan Carrera is a financial professional at Morgan Stanley, a broker-dealer with over 24,900 registered representatives nationwide. Juan has held an industry securities registration for 25 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Morgan Stanley Smith Banrey Venture Services LLC 5 years, 2 months Jun 2009 - Present
Morgan Stanley & Co., Incorporated 5 years, 12 months Sep 2008 - Present
Wachovia Securities, LLC 5 years, 3 months Jun 2003 - Sep 2008
Exams
ExamSeriesPassed Date
National Commodity Futures ExaminationSeries 3 04/10/1989
Uniform Securities Agent State Law ExaminationSeries 63 10/19/1987
General Securities Representative ExaminationSeries 7 09/21/1987

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Juan Carlos Carrera has not answered any questions on Financial Q&A.

Top Guides

Juan Carlos Carrera has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Other Investment Advisors
State or Municipal Government Entities
Corporations or Other Businesses
Other
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
06/06/2013
08/15/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions
  • Other: SEE SCHEDULE D MISCELLANEOUS