Carlos Guerra
Carlos Guerra is a CFP-designated registered investment advisor at J.P. Morgan Securities LLC, based in Austin, TX, with 24 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 Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 0.60% |
| $250K+ | 0.50% |
Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.
Fee Estimator
Location
405 Colorado St, Floor 22, Austin, TX, 78701
Get directionsHistory
Regulatory History (2)
Customer Dispute
July 2010Customer Dispute
February 2007Other Business Activities
Carlos owns rental property since 2020, dedicating minimal time to it. He is also a partial partner in a family investment partnership in Mexico since 2010, but has no input in its management.
Employment History
Current Registrations
J.P. Morgan Securities LLCBroker
J.P. Morgan Securities LLC
Previous Registrations
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Wm Financial Services, INC.
Wm Financial Services, INC.Broker
American Express Financial Advisors, INC.
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations26 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.
Exams
More Advisors
- Michael Neff, CFPJ.P. Morgan Securities LLC
- Binh Nguyen, CFPJ.P. Morgan Securities LLC
- James HickeyJ.P. Morgan Securities LLC
- Tuyet Hoang, CFPJ.P. Morgan Securities LLC
- Thomas GoldbergJ.P. Morgan Securities LLC
- Jon PettryJ.P. Morgan Securities LLC