Five Star award winner Jeffrey G. Carlos, CIMA®, AAMS®

PROFESSIONAL PROFILE

Contact Me

Jeffrey G. Carlos, CIMA^®, AAMS^®

Registered Principal

LPL Financial

4721 4th Street

La Mesa, CA 91941

Office: 619-825-6373

Cell: 619-277-7609

jeffrey.carlos@lpl.com
www.jeffcarlos.com

Professional Approach

Jeff’s more than decade of experience and passion for working through the complex wealth planning issues that business owners, executives and retirees face make him objectively positioned to help his clients pursue their financial and lifetime goals.

Jeff has earned the prestigious CIMA® (Certified Investment Management Analyst®) designation, the only credential in the U.S. to have met an international standard for personnel certification (ISO 17024) and earned accreditation by American National Standards Institute. The CIMA® is a designation for experienced financial professionals seeking competency as advanced investment counselors. The certification is awarded by the Investments & Wealth Institute™ formerly known as IMCA®, it is conferred only after individuals have met the requirements for experience and ethics and completed graduate level, investment-management coursework taught in conjunction with the Wharton School of Business at the University of Pennsylvania. Students are required to pass a rigorous exam and, once licensed, must agree to ongoing continuing education requirements and pledge to uphold the IMCA code of professional responsibility, performance reporting standards, and standards of practice.

Jeff is also an Accredited Asset Management Specialist, AAMS®, a professional designation awarded by the College for Financial Planning, to financial professionals who successfully complete a self-study program, pass an exam and agree to comply with a code of ethics.

Jeff was named a 2017, 2018, 2019, 2020, 2021, 2022, 2023 and 2024 Five-Star Wealth Manager by Five Star Professional and featured in San Diego Magazine.*

He also holds his FINRA Series 7, 66 and 24 securities registrations with LPL Financial and his Life Insurance license.

Jeff is a San Diego Native, and enjoys spending time with his wife and two boys at the beach, fishing, hiking and traveling. He is a former Chairman of the Alpine & Mountain Empire Chamber of Commerce and proud Board Member of the LightBridge Hospice Foundation and supports many other charitable causes.

See Accomplishments

This award was issued on 12/01/2023 by Five Star Professional (FSP) for the time period 2/13/2023 through 08/31/2023. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 2,242 San Diego-area wealth managers were considered for the award; 197 (9% of candidates) were named 2024 Five Star Wealth Managers. The following prior year statistics use this format: YEAR: # Considered, # Winners, % of candidates, Issued Date, Research Period. 2023: 2,125, 211, 10%, 12/1/22, 3/21/22 - 9/16/22; 2022: 2,084, 223, 11%, 12/1/21, 4/12/21 - 10/15/21; 2021: 6,123, 459, 7%, 12/1/20, 3/30/20 - 10/16/20; 2020: 2,218, 231, 10%, 12/1/19, 3/1/19 - 10/18/19; 2019: 1,885, 224, 12%, 12/1/18, 3/23/18 - 10/15/18; 2018: 1,498, 228, 15%, 12/1/17, 3/22/17 - 10/17/17; 2017: 1,349, 349, 26%, 11/1/16, 2/25/16 - 10/14/16; 2016: 1,337, 349, 26%, 11/1/15, 6/2/15 - 10/23/15; 2015: 1,639, 350, 21%, 12/1/14, 6/2/14 - 10/23/14; 2014: 1,838, 368, 20%, 12/1/13, 6/2/13 - 10/23/13; 2013: 1,675, 417, 25%, 12/1/12, 6/2/12 - 10/23/12; 2012: 1,014, 284, 28%, 11/1/11, 6/2/11 - 10/23/11.

Click to access BrokerCheck

Jeffrey Carlos is a Registered Representative with, and securities and advisory services offered through, LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC.

*Award based on 10 objective criteria associated with providing quality services to
clients such as credentials, experience, and assets under management among other factors.
Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth
Managers.

Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser (RIA) or a registered investment adviser representative; 2. Actively licensed as a RIA or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or FSP’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. FSP does not evaluate quality of services provided to clients. The award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients’ assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by FSP or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by FSP in the future. Visit www.fivestarprofessional.com.