Carlos A. Prince

LEGACY EDGE ADVISORS

W. Conshohocken, PA 19428

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CRD#: 5312820

Professional summary

Carlos Alberto Prince, who also goes by Carlos Alberto Montesdeoca, Carlos A Montes De Oca, Carlos Prince, is a registered financial advisor currently at LEGACY EDGE ADVISORS located in W. Conshohocken, Pennsylvania.

Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Carlos has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carlos Alberto Montesdeoca | Carlos A Montes De Oca | Carlos Prince

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Alberto Prince's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 12, 2025 - Present

LEGACY EDGE ADVISORS

Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

RIA

CRD#: 328064

W. Conshohocken, PA

Past

November 29, 2021 - May 5, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PHILADELPHIA, PA

Past

November 29, 2021 - May 5, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PHILADELPHIA, PA

Past

April 9, 2012 - November 4, 2021

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

PHILADELPHIA, PA

Past

April 5, 2012 - November 4, 2021

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

PHILADELPHIA, PA

Past

February 6, 2012 - March 21, 2012

ASCENSUS FINANCIAL SERVICES, LLC.

RIA

CRD#: 147257

EAST WINDSOR, NJ

Past

January 31, 2012 - March 21, 2012

ASCENSUS FINANCIAL SERVICES, LLC.

CRD#: 147257

EAST WINDSOR, NJ

Past

January 12, 2010 - January 9, 2012

TD AMERITRADE, INC.

RIA

CRD#: 7870

RADNOR, PA

Past

January 12, 2010 - January 9, 2012

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

RADNOR, PA

Past

January 11, 2010 - January 9, 2012

TD AMERITRADE, INC.

CRD#: 7870

RADNOR, PA

Past

December 24, 2008 - January 6, 2010

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

KING OF PRUSSIA, PA

Past

October 1, 2007 - January 4, 2010

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

KING OF PRUSSIA, PA

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".

LEGACY EDGE ADVISORS

LEGACY EDGE ADVISORS | LEGACY EDGE ADVISORS, LLC

CRD#: 328064 / SEC#: 801-128842

RIA

Registered Investment Advisory firm - (2/1/2024 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(5/12/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/22/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/30/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/28/2007

General Securities Representative Examination

Current Firm

LEGACY EDGE ADVISORS

LEGACY EDGE ADVISORS | LEGACY EDGE ADVISORS, LLC

CRD#: 328064 / SEC#: 801-128842

RIA

Registered Investment Advisory firm - (2/1/2024 Approved)

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Contact information

Main Address

485 Underhill Blvd. Suite 100, Syosset, NY 11791

Mailing Address

Phone number

(516) 447-4200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE- LEGACY EDGE ADVISORS (3/13/2025)

FORM ADV PART 2A- LEGACY EDGE ADVISORS (3/13/2025)

Regulatory assets under management

Total Number of Accounts	1,118
AUM (Assets Under Management)	$ 896,164,407

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.

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Advisor Monitoring

Firm Stability Insights

Carlos A. Prince

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Alberto Prince's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

ASCENSUS FINANCIAL SERVICES, LLC.

ASCENSUS FINANCIAL SERVICES, LLC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

LEGACY EDGE ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 12/22/2008

Series 63

Date: 8/30/2007

SIE

Date: 10/1/2018

Series 7

Date: 9/28/2007

Current Firm

LEGACY EDGE ADVISORS

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGACY EDGE ADVISORS

TRUST BUT VERIFY

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