CS
Carlos F. Suarez
PRINCIPAL SECURITIES
Miami, FL 33126
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CRD#: 2224345
CS
Professional summary
Carlos F Suarez, CFP®, who also goes by Carlos Francisco Suarez, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Miami, Florida.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Carlos has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carlos Francisco Suarez
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: 1847FINANCIAL | POSITION HELD: AGENT | ADDRESS: 121 ALHAMBRA CIRCLE SUITE 1405 CORAL GABLES, FL 33134 | START DATE: 4/29/2019 | NATURE OF ACTIVITY: MULTI-LINE INSURANCE | APPROX HRS PER MTH: OVER 140 HRS | APPROX TRADING HRS PER MTH: OVER 140 HRS | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY. 2)CG PLAZA ASSOCIATES LLC POSITION: PROPRIETOR/OWNER NATURE: LIFE INSURANCE BROKERAGE INVESTMENT RELATED: NO NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2023 ADDRESS: 201 ALHAMBRA PLAZA SUITE 1405, CORAL GABLES FL 33134, UNITED STATES DESCRIPTION: RECEIVE COMMISSIONS FROM CARRIERS ON FIXED BUSINESS PLACED. DISTRIBUTE COMMISSIONS ON FIXED BUSINESS GENERATED
CRS (Client Relationship Summary) - RIA
Click below to view Carlos F Suarez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carlos F Suarez's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1994
Experience
Current
September 10, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 703 Waterford Way Ste 190, Miami, FL 33126RIA
BD
CRD#: 1137
Miami, FL
Current
September 6, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 703 Waterford Way Ste 190, Miami, FL 33126RIA
BD
CRD#: 1137
Miami, FL
Past
February 24, 2020 - September 3, 2024
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
CORAL GABLES, FL
Past
July 1, 2019 - September 3, 2024
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CORAL GABLES, FL
Past
December 6, 2018 - May 17, 2019
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
MIAMI, FL
Past
May 6, 2015 - May 17, 2019
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
MIAMI, FL
Past
May 15, 2013 - May 29, 2015
OSAIC SERVICES, INC.
RIA
CRD#: 133763
MIAMI, FL
Past
April 10, 2013 - May 29, 2015
OSAIC SERVICES, INC.
BD
CRD#: 133763
MIAMI, FL
Past
June 21, 2005 - January 22, 2013
NEW ENGLAND SECURITIES
RIA
CRD#: 615
MIAMI, FL
Past
December 7, 2004 - January 22, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
MIAMI, FL
Past
April 14, 1999 - October 18, 2004
EQUITY SERVICES, INC.
RIA
CRD#: 265
CORAL GABLES, FL
Past
April 8, 1999 - October 18, 2004
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
July 21, 1998 - April 6, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
March 26, 1992 - March 13, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
March 26, 1992 - March 13, 1998
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/19/2025)
RR
Florida(9/6/2024)
IAR
Florida(9/10/2024)
RR
Texas(11/5/2024)
IAR
Texas(11/5/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Miami, FL 33126TRUST BUT VERIFY
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