|Other Names:||Carlos Alberto Reis Estima, Carlos Reis Estima|
Carlos Estima is a financial professional at Efg Capital International, a broker-dealer with 136 registered representatives nationwide. Carlos has held an industry securities registration for 2 years and is subject to FINRA oversight.
Top AnswersCarlos A Estima has not answered any questions on Financial Q&A.
|High Net Worth Individuals|
|Corporations or Other Businesses|
|Banking or Thrift Institutions|
*The Client Types data displayed is firm level data as reported on the SEC ADV filing.
|Efg Capital International Inc||5 years, 3 months||Dec 2008 - Present|
|Lloyds Tsb||15 years, 9 months||Mar 1993 - Dec 2008|
No Disclosures Found
|As of Date||
*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.
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|General Securities Principal Examination||Series 24||08/05/2010|
|General Securities Representative Examination||Series 7||08/22/2009|
Types of Compensation Arrangements
- Percentage of Assets
- Fixed Fees
- Other: (6) Performance-based fees
- Other: THIRD PARTY SPONSORED FEES