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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.

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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.

Experience and Employment History

Employer Years Dates
Efg Capital International Inc 5 years, 4 months Dec 2008 - Present
Lloyds Tsb 15 years, 9 months Mar 1993 - Dec 2008
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

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.

Advisor Exams

Exam Series Passed Date
General Securities Principal Examination Series 24 08/05/2010
General Securities Representative Examination Series 7 08/22/2009

Firm Compensation Arrangements

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Types of Compensation Arrangements

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