Carlos Caceres is a registered investment advisor, based in Escondido, CA, with 32 years of industry experience.
Location
1500 E Valley Pkwy, Suite B, Escondido, CA, 92027
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Regulatory History (2)
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Customer Dispute
November 2009Settled
Customer Dispute
May 2002Denied
Other Business Activities
Carlos is a trustee, acting as a control person for Caceres since 2019, which is investment related. He spends a few hours per week paying bills from a joint checking account.
Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
September 2019 - Present · 6 yrs 8 mos
Raymond James Financial Services Advisors, INC
September 2019 - Present · 6 yrs 8 mos
Previous Registrations
Cuso Financial Services, L.P.Broker
April 2008 - September 2019 · 11 yrs 5 mos
Cuso Financial Services, L.P.
April 2008 - September 2019 · 11 yrs 5 mos
Unionbanc Investment Services, LLC
August 2003 - April 2008 · 4 yrs 8 mos
Unionbanc Investment Services, LLCBroker
May 2001 - April 2008 · 6 yrs 11 mos
Wm Financial Services, INC.Broker
May 1998 - April 2001 · 2 yrs 11 mos
Great Western Financial Securities CorporationBroker
July 1993 - May 1998 · 4 yrs 10 mos
State Registrations16 states
AZCACOFLINMANCNENMNYORSCTNTXUTWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.