Jorge Alfredo Caro Arias
Investment Adviser Representative at Charles Schwab & Co., Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Jorge Alfredo Caro Arias is an investment adviser representative with Charles Schwab & Co., Inc. in Oxnard, CA, where they have been registered since 2023, the year they entered the securities industry. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in California.
Office
Advisors at this office: 5
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California
- Broker:
8 states and territories
California, Florida, New York, North Carolina, Oklahoma, Oregon, Tennessee, Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Charles Schwab & Co., Inc.Nov 2022 – no end date reportedOxnard, CA
- Charles Schwab Bank, SSBNov 2022 – no end date reportedOxnard, CA
- N/aJan 2012 – Jun 2018Davis, CA
- UC Davis Dining CenterDec 2016 – Jun 2017Davis, CA
- UC Path CenterApr 2018 – Jun 2018Davis, CA
- MUFG Union BankNov 2018 – Nov 2022Solvang, CA
- N/aJun 2018 – Oct 2018Lompoc, CA
Official records & sources
Data as of June 29, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Charles Schwab & Co., Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Fixed fee
- Other
- Firm account minimum
- $500,000
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
Similar advisors in Oxnard, CA
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Jorge Alfredo Caro Arias has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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