CS
Carlos E. Sisniega
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT
EL PASO, TX 79912
Some features on this profile are disabled
CRD#: 2459457
CS
Professional summary
Carlos E Sisniega, who also goes by Carlos F Sisniega, Carlos Federico Sisniega, is a registered financial advisor currently at INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC located in El Paso, Texas and GLOBAL ASSETS ADVISORY, LLC located in El Paso, Texas.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Carlos has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carlos F Sisniega | Carlos Federico Sisniega
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) CARLOS SISNIEGA 4855 N. MESA, #114, EL PASO, TX 79912 - LIFE, HEALTH AND DISABILITY INSURANCE SALES AND SERVICE - AGENT SINCE 1993 - APPROX 40 HRS/MO - COMMISSIONS 2) INTEGRAL FINANCIAL SERVICES, INC. 4855 N. MESA, #114, EL PASO, TX 79912 - dba FOR FINANCIAL SERVICES BUSINESS - 50% OWNER SINCE 10/2003 - APPROX 160 HRS/MO - COMMISSIONS 3) CENTER FOR CHARACTER FORMATION 302 VILLA CANTO, EL PASO, TX 79912 - COMMUNITY SERVICE ORGANIZATION - BOARD MEMBER SINCE 2015 - APPROX 10 HRS/MO - NO COMPENSATION 4) HUMAN INDUSTRIES, LLC 6957 OVEJA AVENUE, EL PASO, TX 79912 - INTERIOR DESIGN PROJECTS - SILENT PARTNER SINCE 2018 - APPROX 0 HRS/MO - NO COMPENSATION 5) TRANSPORTATION SOLUTIONS HOLDING - LOGISTICS FOR COMMERCIAL TRANSPORTATION - BOARD MEMBER SINCE 2018 - NO COMPENSATION 6) VIFAC - CD. JUAREZ, MEXICO - SHELTER FOR PREGNANT WOMEN - BOARD MEMBER SINCE 2011 - NO COMPENSATION
CRS (Client Relationship Summary) - RIA
Click below to view Carlos E Sisniega'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®
NoneExperience
Current
January 3, 2020 - Present
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
Office #1: 4855 North Mesa #114, El Paso, TX 79912RIA
CRD#: 144426
EL PASO, TX
Current
January 12, 2023 - Present
GLOBAL ASSETS ADVISORY, LLC
Office #1: 4855 North Mesa #114, El Paso, TX 79912RIA
CRD#: 300460
EL PASO, TX
Current
September 12, 2018 - Present
INTERNATIONAL ASSETS ADVISORY, LLC
Office #1: 4855 North Mesa #114, El Paso, TX 79912RIA
BD
CRD#: 10645
El Paso, TX
Past
October 3, 2016 - September 14, 2018
CETERA ADVISORS LLC
BD
CRD#: 10299
EL PASO, TX
Past
April 15, 2011 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
EL PASO, TX
Past
September 4, 2009 - April 19, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
EL PASO, TX
Past
June 24, 2003 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
EL PASO, TX
Past
October 29, 2001 - May 30, 2003
IMS SECURITIES, INC.
BD
CRD#: 35567
HOUSTON, TX
Past
May 25, 1994 - August 31, 2001
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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".
IA
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
A. JOSEPH MARGOLIS LLC | WOODS ASSOCIATES | WINN PARTNERS FINANCIAL GROUP | W.J. CONN CAPITAL | VITAL GUIDANCE INC. | VERMONT WEALTH MANAGEMENT | UNITED WEALTH MANAGEMENT | TOUSSAINT FINANCIAL | THE FINANCIAL NETWORK | T. SPENCER SAMUELS INSURANCE & FINANCIAL SVCS. | SULLIVAN WEALTH STRATEGIES | STERLING NOBLE WEALTH MANAGEMENT | STEED WEALTH MANAGEMENT, LLC | SPENCER SAMUELS INSURANCE & FINANCIAL SERVICES | SHILLIN WEALTH MANAGEMENT | SEASIDE WEALTH MANAGEMENT, LLC | ROCKPORT GLOBAL LLC | ROCKBRIDGE WEALTH MANAGEMENT | RISING SUN WEALTH MANAGEMENT | RICH WEALTH MANAGEMENT | REVOLUTION ADVISOR, LLC | RAPPAPORT WEALTH MANAGEMENT | RAND GROUP FINANCIAL | POTOCSNY FINANCIAL GROUP | PORTER-RAY GROUP | PLATINUM INVESTMENTS, LLC | PATHLIGHT INVESTING | O'NEIL WEALTH SERVICES, LLC | NOLA FINANCIAL WEALTH MANAGEMENT | NICHOLS FINANCIAL GROUP, INC | NELSON FINANCIAL SERVICES | MOUNTAIN PEAK FINANCIAL SOLUTIONS | MONARCH RETIREMENT | MONARCH ADVISORY SERVICES FINANCIAL, LLC | MIDWEST FINANCIAL MANAGEMENT | MCW WEALTH MANAGEMENT | MADDOX INVESTMENT SERVICES | MACEDON FINANCIAL MANAGEMENT, LLC | LR VASSALLO & ASSOC | LOYAL TRUST PRIVATE WEALTH | LINDBLOOM INVESTMENT SERVICES, LLC | LEGACY PARK WEALTH | KNAPP FINANCIAL GROUP LLC | KEYARX GROUP | JANSEN WEALTH MANAGEMENT, LLC | JAMES E. BASHAW & CO | JAG SHORE ENTERPRISES | INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | INTEGRAL WEALTH PLANNING, LLC | INTEGRAL WEALTH PLANNING LLC | INSIGHT PRIVATE WEALTH | IAA WEALTH MANAGEMENT | HUSTAD WEALTH MANAGEMENT | HELIOS CAPITAL ADVISORS, LLC | HARRISON FINANCIAL MANAGEMENT, LLC | HALL WEALTH ADVISORS | GULF COAST WEALTH ADVISORS | GRANITE WEALTH MANAGEMENT | GPS WEALTH MANAGEMENT | GOLD LEAF INVESTMENTS | GLOBULL INVESTMENTS | G2 RAMPART CONSULTING, LLC | FYLLING WEALTH MANAGEMENT, LLC | FULCRUM PONT FIXED INCOME GROUP | FINANCIAL ADVANTAGE WEALTH MANAGEMENT | FFS ADVISORY | EPSTEIN & KOLACZ WEALTH MANAGEMENT | EMPOWER BROKERAGE INC. | ELEVATE PRIVATE WEALTH GROUP, LLC | ECL PRIVATE WEALTH MANAGEMENT | DPR WEALTH MANAGEMENT | DIXON FINANCIAL PARTNERS | DENISON FINANCIAL | DANTAS ADVISORY | CONFIDENT TRUST FINANCIAL GROUP | CHOICE FINANCIAL SERVICES | C A ROSS WEALTH MANAGEMENT GROUP | BYRER WEALTH MANAGEMENT, LLC | BUTCHER FINANCIAL, LLC | BURGESSER WEALTH MANAGEMENT, INC | BRIN FINANCIAL | BOURQUE WEALTH SOLUTIONS, LLC | BLACOR USA | BECKERMAN & ASSOCIATES, LLC | ATX FINANCIAL | ATLANTIC WEALTH MANAGEMENT, INC. | ARTHUR MORRIS LIFESTYLE WEALTH MANAGEMENT, LLC | ARROW ADVISORS | AMERICAN RETIREMENT SOLUTIONS OF GEORGIA | AINE PRIVATE WEALTH, LLC | AFACAN WEALTH MANAGEMENT
CRD#: 144426 / SEC#: 801-68114
RIA
Registered Investment Advisory firm - (7/5/2007 Approved)New Jersey
Registered Investment Advisory firm - (9/7/2010 Terminated)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(7/5/2023)
RR
New Mexico(9/12/2018)
RR
Texas(9/12/2018)
IAR
Texas(1/3/2020)
Exams
State Security Law Exam
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
IA
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
A. JOSEPH MARGOLIS LLC | WOODS ASSOCIATES | WINN PARTNERS FINANCIAL GROUP | W.J. CONN CAPITAL | VITAL GUIDANCE INC. | VERMONT WEALTH MANAGEMENT | UNITED WEALTH MANAGEMENT | TOUSSAINT FINANCIAL | THE FINANCIAL NETWORK | T. SPENCER SAMUELS INSURANCE & FINANCIAL SVCS. | SULLIVAN WEALTH STRATEGIES | STERLING NOBLE WEALTH MANAGEMENT | STEED WEALTH MANAGEMENT, LLC | SPENCER SAMUELS INSURANCE & FINANCIAL SERVICES | SHILLIN WEALTH MANAGEMENT | SEASIDE WEALTH MANAGEMENT, LLC | ROCKPORT GLOBAL LLC | ROCKBRIDGE WEALTH MANAGEMENT | RISING SUN WEALTH MANAGEMENT | RICH WEALTH MANAGEMENT | REVOLUTION ADVISOR, LLC | RAPPAPORT WEALTH MANAGEMENT | RAND GROUP FINANCIAL | POTOCSNY FINANCIAL GROUP | PORTER-RAY GROUP | PLATINUM INVESTMENTS, LLC | PATHLIGHT INVESTING | O'NEIL WEALTH SERVICES, LLC | NOLA FINANCIAL WEALTH MANAGEMENT | NICHOLS FINANCIAL GROUP, INC | NELSON FINANCIAL SERVICES | MOUNTAIN PEAK FINANCIAL SOLUTIONS | MONARCH RETIREMENT | MONARCH ADVISORY SERVICES FINANCIAL, LLC | MIDWEST FINANCIAL MANAGEMENT | MCW WEALTH MANAGEMENT | MADDOX INVESTMENT SERVICES | MACEDON FINANCIAL MANAGEMENT, LLC | LR VASSALLO & ASSOC | LOYAL TRUST PRIVATE WEALTH | LINDBLOOM INVESTMENT SERVICES, LLC | LEGACY PARK WEALTH | KNAPP FINANCIAL GROUP LLC | KEYARX GROUP | JANSEN WEALTH MANAGEMENT, LLC | JAMES E. BASHAW & CO | JAG SHORE ENTERPRISES | INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | INTEGRAL WEALTH PLANNING, LLC | INTEGRAL WEALTH PLANNING LLC | INSIGHT PRIVATE WEALTH | IAA WEALTH MANAGEMENT | HUSTAD WEALTH MANAGEMENT | HELIOS CAPITAL ADVISORS, LLC | HARRISON FINANCIAL MANAGEMENT, LLC | HALL WEALTH ADVISORS | GULF COAST WEALTH ADVISORS | GRANITE WEALTH MANAGEMENT | GPS WEALTH MANAGEMENT | GOLD LEAF INVESTMENTS | GLOBULL INVESTMENTS | G2 RAMPART CONSULTING, LLC | FYLLING WEALTH MANAGEMENT, LLC | FULCRUM PONT FIXED INCOME GROUP | FINANCIAL ADVANTAGE WEALTH MANAGEMENT | FFS ADVISORY | EPSTEIN & KOLACZ WEALTH MANAGEMENT | EMPOWER BROKERAGE INC. | ELEVATE PRIVATE WEALTH GROUP, LLC | ECL PRIVATE WEALTH MANAGEMENT | DPR WEALTH MANAGEMENT | DIXON FINANCIAL PARTNERS | DENISON FINANCIAL | DANTAS ADVISORY | CONFIDENT TRUST FINANCIAL GROUP | CHOICE FINANCIAL SERVICES | C A ROSS WEALTH MANAGEMENT GROUP | BYRER WEALTH MANAGEMENT, LLC | BUTCHER FINANCIAL, LLC | BURGESSER WEALTH MANAGEMENT, INC | BRIN FINANCIAL | BOURQUE WEALTH SOLUTIONS, LLC | BLACOR USA | BECKERMAN & ASSOCIATES, LLC | ATX FINANCIAL | ATLANTIC WEALTH MANAGEMENT, INC. | ARTHUR MORRIS LIFESTYLE WEALTH MANAGEMENT, LLC | ARROW ADVISORS | AMERICAN RETIREMENT SOLUTIONS OF GEORGIA | AINE PRIVATE WEALTH, LLC | AFACAN WEALTH MANAGEMENT
CRD#: 144426 / SEC#: 801-68114
RIA
Registered Investment Advisory firm - (7/5/2007 Approved)New Jersey
Registered Investment Advisory firm - (9/7/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
111 North Orange Avenue Suite 1000, Orlando, FL 32801
Mailing Address
Phone number
(407) 254-1500
Established
Firm type
Fiscal year end
# of Employees
128
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,359 |
| AUM (Assets Under Management) | $ 2,212,521,886 |
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.
