Carlos Noriega is a CFP-designated registered investment advisor, based in Parsippany, NJ, with 24 years of industry experience.
Location
300 Kimball Drive, Suite 310, Parsippany, NJ, 07054
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Carlos serves as a FINRA arbitrator since December 2022, dedicating minimal time to this labor or service activity.
Employment History
Current Registrations
Purshe Kaplan Sterling InvestmentsBroker
December 2025 - Present · 4 mos
Onepoint Bfg Wealth Partners
August 2025 - Present · 8 mos
Previous Registrations
Morgan Stanley
April 2019 - July 2025 · 6 yrs 3 mos
Morgan StanleyBroker
April 2019 - July 2025 · 6 yrs 3 mos
Foresters Advisory Services, LLC
August 2012 - March 2019 · 6 yrs 7 mos
Foresters Financial Services, INC.Broker
January 2012 - March 2019 · 7 yrs 2 mos
Prudential Investments LLC
January 2011 - January 2012 · 1 yr
Prudential Investment Management Services LLCBroker
January 2011 - January 2012 · 1 yr
Summitalliance Securities, L.L.C.Broker
March 2010 - December 2010 · 9 mos
AXA Advisors, LLC
February 2009 - November 2009 · 9 mos
AXA Advisors, LLCBroker
April 2008 - November 2009 · 1 yr 7 mos
AXA Distributors, LLCBroker
January 2005 - April 2008 · 3 yrs 3 mos
Citicorp Investment ServicesBroker
March 2003 - May 2003 · 2 mos
Hold Brothers On-Line Investment Services L.L.C.Broker
November 2002 - January 2003 · 2 mos
Schwab Capital Markets L.P.Broker
April 2000 - December 2002 · 2 yrs 8 mos
All-Tech Direct, INC.Broker
April 1999 - April 2000 · 1 yr
Datek Online Brokerage Services CORP.Broker
August 1998 - January 1999 · 5 mos
State Registrations1 state
NJ
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.