Carlo A. Panaccione
NAVIGATION GROUP LLC | Founder, Private Wealth Advisor, LPL Registered Principal
REDWOOD CITY, CA 94065
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CRD#: 1531543
Professional summary
Carlo Anthony Panaccione, CFP® is a registered financial advisor currently at NAVIGATION GROUP LLC located in Redwood City, California and LPL FINANCIAL LLC located in Redwood Shores, California.
Carlo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Carlo has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Biography
Within minutes of first meeting Carlo you can’t help but recognize his genuine passion for making a positive difference in the lives of the people he comes in contact with each and every day. Since 1986, Carlo has provided the financial advice, education, and services that have resulted in him being featured in such business media outlets as CNBC, Fox Business News, ABC News, NY Times, MSN Money, Barron’s, Businessweek, Worth and Bloomberg. A nationally acclaimed advisor, Carlo appreciates the recognition that he has received, but finds his greatest achievement has been his clients’ trust and friendship.
Carlo’s principles and work ethic were instilled in him by his parents and extended family when he was a young boy in his family’s Italian restaurant, where he learned the values of hard work, personal ethics, service, and building personal relationships. Carlo is described as a thoughtful, deliberate, and hands-on professional. Treating clients like family means more than enjoying their company and caring about their interests; it also means assuring that they receive professional advice, a sincere advocate and service that is good enough for family.
Carlo has many interests which revolve around spending time with family and friends and include entertaining, travel, wine, and skiing, as well as preparing the family recipes he learned during his childhood. Carlo and his wife Julie have been married since 1995 and reside in Los Altos Hills with their three children, Madeline, Nicholas and Isabella. Carlo was certified as a CERTIFIED FINANCIAL PLANNER™ Practitioner (CFP®) in 1993 by the College for Financial Planning in Denver, and is a member of the Financial Planning Association. He earned a BA in Communications with a minor in Business in 1983 from California State University, Chico. Carlo is active with several charities and his children’s sports.
Carlo Panaccione is a registered principal with and securities are offered through LPL Financial, member FINRA/SIPC. CA Insurance License #0714340.
Question & Answer
What are your service offerings?
Divorce Planning
Tax Planning
Estate Planning
Business Succession Planning
Investment Planning
Insurance Planning
Retirement Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Do you have an area of expertise or specialization?
Comprehensive Financial Planni...
Attending College
Charitable & Planned Giving
Investment Management
Estate Planning
Employee Benefits
Insurance
Retirement
Stocks & Bonds
Long-term Care
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.
(1) 8/13/1999 - REGISTERED INVESTMENT ADVISOR DBA - NAVIGATION GROUP, INC. - TIME SPENT 15% - REDWOOD SHORES, CA.
(2) 2/19/2008 - OTHER-PAID SPEAKER - PRESENTATIONS ON PRACTICE MGMT & TOOLS & CONFERENCES, HAVE NOT HAD ANY SPEAKING ENGAGEMENTS FOR THE LAST 2 YRS. - 5% TIME SPENT
(3) 08/26/2013 - DBA ONLY - NAVIGATION GROUP, INC. - REDWOOD SHORES, CA
(4) 5/10/2017 - Navigation Group LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 03/31/2017 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Navigation Group LLC, an independent investment advisor firm. I started this business activity in 03/2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
5. 09/17/2019 - Frances M Panaccione DTD 04/2/1997 - Not investment related - At reported business location(s) - Act in a Fiduciary Capacity - start date:03/06/2019 - 1 hr/mo - 0 hrs during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Carlo Anthony Panaccione'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: 1993
Experience
Current
August 2, 1999 - Present
NAVIGATION GROUP LLC
Office #1: 3 Lagoon Drive Suite 110, Redwood City, CA 94065RIA
CRD#: 130982
REDWOOD CITY, CA
Current
December 18, 1998 - Present
LPL FINANCIAL LLC
Office #1: 3 Lagoon Drive #110, Redwood Shores, CA 94065RIA
BD
CRD#: 6413
Redwood Shores, CA
Past
January 5, 1999 - August 23, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
August 21, 1986 - December 23, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
NG
NAVIGATION GROUP LLC
NAVIGATION GROUP LLC | NAVIGATION GROUP, INC.
CRD#: 130982 / SEC#: 801-110408
RIA
Registered Investment Advisory firm - (4/28/2017 Approved)California
Registered Investment Advisory firm - (5/28/2017 Terminated)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
Arizona(12/4/2013)
RR
California(12/22/1998)
IAR
California(8/2/1999)
RR
Colorado(5/19/2003)
RR
District of Columbia(1/9/2008)
RR
Florida(12/18/1998)
RR
Georgia(6/3/2003)
RR
Hawaii(3/15/2004)
RR
Idaho(3/18/2021)
RR
Maryland(3/1/2004)
RR
Missouri(5/19/2003)
RR
Nevada(1/2/2002)
RR
New Jersey(1/29/2015)
RR
New Mexico(9/3/2004)
RR
New York(12/18/1998)
RR
North Carolina(12/18/1998)
RR
Ohio(8/7/2007)
RR
Oregon(12/18/1998)
RR
South Carolina(12/7/2020)
RR
Texas(1/5/1999)
RR
Virginia(6/21/2016)
RR
Washington(12/18/1998)
RR
Wisconsin(12/18/1998)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NG
NAVIGATION GROUP LLC
NAVIGATION GROUP LLC | NAVIGATION GROUP, INC.
CRD#: 130982 / SEC#: 801-110408
RIA
Registered Investment Advisory firm - (4/28/2017 Approved)California
Registered Investment Advisory firm - (5/28/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3 Lagoon Drive Suite 110, Redwood Shores, CA 94065
Mailing Address
Phone number
(650) 595-1700
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 426 |
| AUM (Assets Under Management) | $ 927,521,918 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NAVIGATION GROUP LLC
Founder, Private Wealth Advisor, LPL Registered PrincipalCRD#: 130982Redwood City, CA 94065TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
