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Carlos Torres

Chief Compliance Officer at Managed Account Advisors

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
9
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Carlos Torres is Chief Compliance Officer of Managed Account Advisors LLC, a Jersey City investment adviser managing $995B. Carlos Torres has a current broker registration and no current investment-adviser registration and has passed 9 licensing exams.

Role at Managed Account Advisors

Title on Schedule A
Chief Compliance Officer
Control
Carlos Torres is not a control person of Managed Account Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Carlos Torres has held the filed role since March 2021.

The firm

Managed Account Advisors LLC
Jersey City, NJ

Form ADV filed 18 September 2026

$995B AUM1,446,258 clients25 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed Series 24 and Series 23 · 2025
  2. Passed Series 9 and Series 10 · 2023
  3. Passed SIE · 2018
  4. Passed Series 65 · 1997
  5. Passed Series 7, Series 63 and Series 8 · 1996

Registrations and exams

Broker registration; no current adviser registration. Carlos Torres has passed 9 qualifying exams.

Examinations

Series 6520 June 1997
Name
Uniform Investment Adviser Law Examination
Series 632 February 1996
Name
Uniform Securities Agent State Law Examination
Series 2416 June 2025
Name
General Securities Principal Examination
Series 2316 June 2025
Name
General Securities Principal Sales Supervisor
Series 92 January 2023
Name
General Securities Sales Supervisor - Options Module Examination
Series 102 January 2023
Name
General Securities Sales Supervisor - General Module Examination
Series 84 March 1996
Name
General Securities Sales Supervisor Examination (Options Module & General Module)
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 716 January 1996
Name
General Securities Representative Examination

Individual record

Full name
Carlos Alberto Torres
CRD
2155320
Firm
Managed Account Advisors LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Carlos Torres work?

Carlos Torres has been Chief Compliance Officer of Managed Account Advisors LLC since March 2021.

Source: Form ADV, Schedule A, filed 18 September 2026

Does Carlos Torres have a current investment-adviser registration?

Carlos Torres has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Carlos Torres passed?

Carlos Torres has passed 9 licensing exams: the Series 7, Series 63, Series 8, Series 65, SIE, Series 9, Series 10, Series 24 and Series 23. The earliest, the Series 7, was passed in January 1996.

Source: IAPD individual record, checked 17 October 2026

Leadership at Managed Account Advisors

Sources

  1. IAPD individual record, CRD 2155320. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Managed Account Advisors LLC, filed 18 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Carlos Torres or Managed Account Advisors LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.