Carlos L. Obando

MERCER ISLAND CAPITAL MANAGEMENT

Mercer Island, WA

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CRD#: 2250261

Professional summary

Carlos Luis Obando, CIMA® is a registered financial advisor currently at MERCER ISLAND CAPITAL MANAGEMENT, LLC located in Mercer Island, Washington.

Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Carlos has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 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.

1) OPI- VISIONARIA CAPITAL,LLC; PRIVATE EQUITY; JANUARY 2000 2) INSURANCE AGENT; 4 HRS PER MONTH DURING SECURITIES; INSURANCE SALES 3) Mercer Island Telecom, LLC; CONSULTING; MANAGING MEMBER; 4 HRS PER MONTH DURING SECURITIES; NOT INVESTMENT RELATED; SINCE SEPTEMBER 2016 4) 34PI.COM CORPORATION; EDUCATION TECHONOLGY; CEO; 0 HRS PER MONTH DURING SECURITIES; NOT INVESTMENT RELATED; SINCE SEPTEMBER 2018 5) Seattle University; Not investment-related; 912 12th Ave Seattle, WA ; Education; Adjunct Professor; 1.3.2024; 10 hours per month for during securities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Luis Obando'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

May 18, 2016 - Present

MERCER ISLAND CAPITAL MANAGEMENT, LLC

RIA

CRD#: 283752

Mercer Island, WA

Past

June 6, 2014 - October 30, 2014

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

MERCER ISLAND, WA

Past

March 11, 2014 - April 5, 2016

NORTHWEST ASSET MANAGEMENT

RIA

CRD#: 147923

MERCER ISLAND, WA

Past

March 9, 2007 - December 23, 2013

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SEATTLE, WA

Past

March 9, 2007 - December 23, 2013

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SEATTLE, WA

Past

July 26, 1999 - March 19, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SEATTLE, WA

Past

July 13, 1999 - March 19, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SEATTLE, WA

Past

February 8, 1996 - July 16, 1999

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

November 17, 1993 - March 20, 1995

LTCB LATIN AMERICA, INC.

CRD#: 30396

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.

Highlighted states indicate IAR registrations

IAR

Texas
(11/7/2016)

IAR

Washington
(5/18/2016)

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 65

Date: 2/22/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/15/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/30/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/10/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/18/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/11/1992

General Securities Principal Examination

Current Firm

MERCER ISLAND CAPITAL MANAGEMENT, LLC

MERCER ISLAND CAPITAL MANAGEMENT, LLC | MICAP360.COM

CRD#: 283752 / SEC#:

Texas

Registered Investment Advisory firm - (11/7/2016 Conditional Restricted)

Washington

Registered Investment Advisory firm - (5/18/2016 Approved)

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Contact information

Main Address

Mercer Island, WA

Mailing Address

Phone number

(206) 501-4976

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	82
AUM (Assets Under Management)	$ 17,965,636

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.

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Firm Stability Insights

Carlos L. Obando

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Luis Obando's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

NORTHWEST ASSET MANAGEMENT

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CIBC WORLD MARKETS CORP.

LTCB LATIN AMERICA, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/22/1996

Series 63

Date: 2/15/1996

SIE

Date: 10/30/2014

Series 31

Date: 12/10/2003

Series 7

Date: 8/18/1992

Series 24

Date: 9/11/1992

Current Firm

MERCER ISLAND CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MERCER ISLAND CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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