Carlos Guerra
Carlos Guerra is a registered investment advisor at Oppenheimer & CO. INC., based in Houston, TX, with 24 years of industry experience. Their practice areas include Financial Planning & Coaching, High Net Worth, Retirement Planning. Their firm serves 37,605 clients with $32B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Oppenheimer offers several investment management programs with different fee structures:
- Fahnestock Asset Management (FAM): Fees up to 2.5% of your portfolio. Commissions are also charged on certain FAM accounts.
- Alpha: Clients pay brokerage commissions and ticket/handling charges on securities transactions.
- Preference: Fees up to 2.25% of your portfolio. Additional charges may apply based on trading activity.
Minimum account sizes vary depending on the program and the types of investments included in the account. The minimum annual fee for FAM and Preference accounts is $250, but this is waived if the account is at least $50,000 or household advisory accounts are at least $250,000.
Location
711 Louisiana Street, 15th Floor, Houston, TX, 77002
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Regulatory History (1)
Customer Dispute
March 2019Other Business Activities
Carlos is involved with an organization overseeing Galveston's tourism efforts, beach patrol, and coastal zone management. He commits a few hours per week to the board.
Employment History
Current Registrations
Oppenheimer & CO. INC.Broker
Oppenheimer & CO. INC.
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
J.P. Morgan Securities LLCBroker
J.P. Morgan Securities LLC
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Banc One Securities Corporation
Banc One Securities CorporationBroker
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Chase Investment Services CORP.Broker
State Registrations5 states
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.