AC
Adam M. Carmel
LARIMER CAPITAL
Denver, CO 80222
Some features on this profile are disabled
CRD#: 1074710
AC
Professional summary
Adam Morman Carmel, CFP® is a registered financial advisor currently at LARIMER CAPITAL CORPORATION located in Denver, Colorado.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Adam has worked at 4 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 14, Series 53, Series 27, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Morman Carmel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Adam Morman Carmel'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®
CFP®
Start date: 1985
Experience
Current
January 1, 1999 - Present
LARIMER CAPITAL CORPORATION
Office #1: 1720 South Bellaire Street Suite 1110, Denver, CO 80222Office #2: 1720 South Bellaire Street Suite 1110, Denver, CO 80222Office #3: 1380 Seventeenth Street, Denver, CO 80202Office #4: 1720 South Bellaire Street Suite 1110, Denver, CO 80222RIA
BD
CRD#: 18189
Denver, CO
Current
January 14, 1987 - Present
LARIMER CAPITAL CORPORATION
Office #1: 1720 South Bellaire Street Suite 1110, Denver, CO 80222Office #2: 1720 South Bellaire Street Suite 1110, Denver, CO 80222Office #3: 1720 South Bellaire Street Suite 1110, Denver, CO 80222RIA
BD
CRD#: 18189
Denver, CO
Past
March 5, 2024 - October 23, 2024
AVIOR WEALTH MANAGEMENT, LLC
RIA
CRD#: 148674
DENVER, CO
Past
July 12, 1984 - January 13, 1987
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
Past
November 26, 1982 - June 7, 1984
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
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".
LC
LARIMER CAPITAL CORPORATION
LARIMER CAPITAL CORP | LARIMER CAPITAL CORPORATION
CRD#: 18189 / SEC#: 801-29070, 8-36594
RIA
Registered Investment Advisory firm - SEC (12/1/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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(3/19/1987)
RR
Colorado(1/14/1987)
IAR
Colorado(1/1/1999)
IAR
Connecticut(4/3/2023)
RR
Connecticut(1/10/2024)
IAR
District of Columbia(2/19/2025)
RR
Florida(3/20/1987)
RR
Michigan(7/30/2002)
RR
Montana(1/13/2011)
RR
New Mexico(3/27/2013)
RR
New York(8/30/1989)
IAR
Pennsylvania(7/29/2025)
RR
Texas(2/23/1987)
RR
Virginia(6/27/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LC
LARIMER CAPITAL CORPORATION
LARIMER CAPITAL CORP | LARIMER CAPITAL CORPORATION
CRD#: 18189 / SEC#: 801-29070, 8-36594
RIA
Registered Investment Advisory firm - SEC (12/1/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1720 South Bellaire Street Suite 1110, Denver, CO 80222
Mailing Address
1720 South Bellaire Street Suite 1110, Denver, CO 80222
Phone number
(303) 573-5511
Established
Colorado since 05/16/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
4
SEC notice filing (15 States and Territories)
FINRA licenses (12 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARMEL, ADAM MORMAN | PRESIDENT/CHIEF COMPLIANCE OFFICER | 1074710 |
| CARMEL, KATHLEEN HAWKINS | SECRETARY |
Regulatory assets under management
| Total Number of Accounts | 428 |
| AUM (Assets Under Management) | $ 156,240,746 |
Disclosures
| Regulatory Event | 1 |
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.
