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Carlos Oliveira

Cambridge Investment Research Advisors, INC.
28 Years of Experience
Fall River, MA
1 DisclosureBrokerSells Insurance
View SEC Summary
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Carlos Oliveira is a registered investment advisor at Cambridge Investment Research Advisors, INC., based in Fall River, MA, with 28 years of industry experience. Carlos is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 361,213 clients with $140B in assets under management.

Cambridge Investment Research Advisors, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3940 advisors
Number of Clients
361,213 clients
Average Client Portfolio
$384K average
Assets Under Management
$138.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum allowable advisory fee is 2.25% annually across platforms. Actual fees are negotiable and set by your financial professional based on account size, complexity, and specific program selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

331 Elsbree St, Fall River, MA, 02720

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2012
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Carlos is an independent insurance agent since 1997, selling life, fixed annuity, long-term care, and disability products, dedicating a few hours per week to investment-related trading. He is also an advisory representative of a registered investment advisor, spending nearly full-time hours on investment-related trading.

Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
January 2013 - Present · 13 yrs 9 mos
Cambridge Investment Research, INC.Broker
July 2011 - Present · 15 yrs 3 mos
Previous Registrations
Cambridge Investment Research Advisors, INC.
July 2011 - December 2012 · 1 yr 5 mos
Investors Capital CORP.Broker
February 2005 - July 2011 · 6 yrs 5 mos
Investors Capital Advisory
February 2005 - July 2011 · 6 yrs 5 mos
Commonwealth Financial Network
February 2002 - February 2005 · 3 yrs
Commonwealth Financial NetworkBroker
March 2000 - February 2005 · 4 yrs 11 mos
Capital Analysts, IncorporatedBroker
January 1998 - March 2000 · 2 yrs 2 mos
State Registrations5 states
FLMANJNYRI
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.
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