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Carlos A Estima

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Information

Other Names: Carlos Alberto Reis Estima, Carlos Reis Estima
Firm:
Type: Registered Representative
Description

Carlos Estima is a financial professional at Efg Capital International, a broker-dealer with 135 registered representatives nationwide. Carlos has held an industry securities registration for 2 years and is subject to FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Efg Capital International Inc 5 years, 9 months Dec 2008 - Present
Lloyds Tsb 15 years, 9 months Mar 1993 - Dec 2008
Exams
ExamSeriesPassed Date
General Securities Principal ExaminationSeries 24 08/05/2010
General Securities Representative ExaminationSeries 7 08/22/2009

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

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

Top Guides

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

Firm Client Types

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.

Licenses and Conduct

Regulator
License Status
Registered
Disclosures

No Disclosures Found

As of Date
10/20/2011
*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

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions
  • Other: (6) Performance-based fees
  • Other: THIRD PARTY SPONSORED FEES