Maria C. Delgado

CRD#: 1249405

Some features on this profile are disabled

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Maria Carlota Delgado, who also goes by Carlota Delgado, M Carlota Delgado, M. Carlota Delgado, M. Carlota Delgado, was a registered financial professional .

Maria is a previously registered financial professional and started their career in finance in 1997. Maria had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carlota Delgado | M Carlota Delgado | M. Carlota Delgado | M. Carlota Delgado

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 3, 2020 - March 14, 2025

ARAGON CAPITAL LLC

RIA

CRD#: 166958

FORT LAUDERDALE, FL

Past

October 1, 2014 - July 20, 2018

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Maple Grove, MN

Past

May 15, 2014 - July 20, 2018

PRUCO SECURITIES, LLC.

CRD#: 5685

Maple Grove, MN

Past

April 20, 2011 - April 10, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

BOCA RATON, FL

Past

April 14, 2011 - April 10, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

BOCA RATON, FL

Past

March 13, 2007 - March 29, 2011

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

PLANTATION, FL

Past

October 5, 2006 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

PLANTATION, FL

Past

October 5, 2006 - March 29, 2011

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

PLANTATION, FL

Past

March 16, 2001 - September 28, 2006

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

MIRAMAR, FL

Past

April 23, 1997 - February 12, 2001

STANFORD GROUP COMPANY

CRD#: 39285

HOUSTON, TX

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".

ARAGON CAPITAL LLC

CRD#: 166958 / SEC#: 801-121982

RIA

Registered Investment Advisory firm - (7/30/2021 Approved)

Florida

Registered Investment Advisory firm - (8/12/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/27/2014

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/26/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/16/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/20/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/22/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/3/2014

Investment Company Products/Variable Contracts Principal Examination

Current Firm

ARAGON CAPITAL LLC

CRD#: 166958 / SEC#: 801-121982

RIA

Registered Investment Advisory firm - (7/30/2021 Approved)

Florida

Registered Investment Advisory firm - (8/12/2021 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

101 Ne 3rd Ave Suite 1500, Fort Lauderdale, FL 33301

Mailing Address

Phone number

(786) 529-6540

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/27/2026)

ADV 3 - FORM CRS (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,066
AUM (Assets Under Management)	$ 285,018,221

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

HELENA, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

ESTERO, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Maria C. Delgado

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

FORESTERS FINANCIAL SERVICES, INC.

STANFORD GROUP COMPANY

Primary Firm SEC Registration

ARAGON CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/27/2014

Series 65

Date: 8/26/1997

Series 63

Date: 5/16/1997

SIE

Date: 7/20/2018

Series 7

Date: 4/22/1997

Series 26

Date: 6/3/2014

Current Firm

ARAGON CAPITAL LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARAGON CAPITAL LLC

TRUST BUT VERIFY

Similar Advisors