Carlos A. Sanchez

VIVALDI CAPITAL MANAGEMENT LP

HUNTINGTON BEACH, CA 92647

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CRD#: 2427628

Professional summary

Carlos Alberto Sanchez, CFP® is a registered financial advisor currently at VIVALDI CAPITAL MANAGEMENT LP located in Huntington Beach, California.

Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Carlos has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Alberto Sanchez's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2019

Experience

Current

November 26, 2024 - Present

VIVALDI CAPITAL MANAGEMENT LP

Office #1: 7755 Center Avenue 11th Floor, Huntington Beach, CA, 92647

RIA

CRD#: 160150

HUNTINGTON BEACH, CA

Past

January 19, 2023 - December 16, 2024

BIECHELE ROYCE ADVISORS, INC.

RIA

CRD#: 120742

FISHERS, IN

Past

February 2, 2017 - January 23, 2023

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

NEWPORT BEACH, CA

Past

February 2, 2017 - January 23, 2023

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

NEWPORT BEACH, CA

Past

October 1, 2012 - February 8, 2017

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

NORWALK, CA

Past

October 1, 2012 - February 8, 2017

J.P. MORGAN SECURITIES LLC

CRD#: 79

NORWALK, CA

Past

May 2, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NORWALK, CA

Past

May 2, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NORWALK, CA

Past

February 28, 2006 - May 2, 2009

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

NORWALK, CA

Past

January 27, 1998 - May 1, 1998

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

July 14, 1997 - May 2, 2009

WAMU INVESTMENTS, INC.

CRD#: 599

NORWALK, CA

Past

January 4, 1995 - July 14, 1997

ASB FINANCIAL SERVICES

CRD#: 24280

IRVINE, CA

Past

December 21, 1993 - January 9, 1995

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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".

VIVALDI CAPITAL MANAGEMENT LP

CRD#: 160150 / SEC#: 801-73024

RIA

Registered Investment Advisory firm - (2/13/2012 Approved)

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

California
(11/26/2024)

IAR

Indiana
(11/26/2024)

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

Series 63

Date: 12/20/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/1/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/20/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

VIVALDI CAPITAL MANAGEMENT LP

CRD#: 160150 / SEC#: 801-73024

RIA

Registered Investment Advisory firm - (2/13/2012 Approved)

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Contact information

Main Address

225 West Wacker Suite 2100, Chicago, IL 60606

Mailing Address

Phone number

(312) 248-8300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VIVALDI CAPITAL MANAGEMENT LP FORM ADV 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	8,413
AUM (Assets Under Management)	$ 4,647,085,822

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/22/2024	Cover Page	Report
10/24/2023	Cover Page	Report
07/26/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Carlos A. Sanchez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Alberto Sanchez's CRS (Customer Relationship Summary).

Certified licenses

Experience

BIECHELE ROYCE ADVISORS, INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

WAMU INVESTMENTS, INC.

ASB FINANCIAL SERVICES

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

VIVALDI CAPITAL MANAGEMENT LP

State Registrations and Notice Filings

Exams

Series 63

Date: 12/20/1993

SIE

Date: 10/1/2018

Series 7

Date: 2/1/1995

Series 6

Date: 12/20/1993

Current Firm

VIVALDI CAPITAL MANAGEMENT LP

Contact information

SEC notice filing (45 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VIVALDI CAPITAL MANAGEMENT LP

TRUST BUT VERIFY

Contact information

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