Charles P. Carmona

WESTMORE ASSET MANAGEMENT

Pearl River, NY 10965

Some features on this profile are disabled

CRD#: 2446429

Professional summary

Charles Patrick Carmona, who also goes by Charles Carmona, is a registered financial advisor currently at WESTMORE ASSET MANAGEMENT located in Pearl River, New York.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Charles has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles Carmona

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 Charles Patrick Carmona'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®

None

Experience

Current

August 16, 2021 - Present

WESTMORE ASSET MANAGEMENT

Office #1: 1 Blue Hill Plaza Lobby Level, Suite 1509, Pearl River, NY 10965

RIA

CRD#: 164431

Pearl River, NY

Past

November 23, 2015 - August 16, 2017

TORINO CAPITAL LLC

CRD#: 157525

NEW YORK, NY

Past

February 15, 2013 - September 5, 2013

TORINO CAPITAL LLC

CRD#: 157525

NEW YORK, NY

Past

January 1, 2010 - July 9, 2012

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

January 1, 2010 - July 9, 2012

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 22, 2009 - January 1, 2010

UBS INTERNATIONAL INC.

RIA

CRD#: 107726

NEW YORK, NY

Past

November 29, 2004 - January 1, 2010

UBS INTERNATIONAL INC.

CRD#: 107726

NEW YORK, NY

Past

December 17, 2003 - October 26, 2004

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

September 19, 1996 - October 10, 2003

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

February 3, 1994 - September 20, 1996

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

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".

WESTMORE ASSET MANAGEMENT

RENA ADVISORS | WESTMORE ASSET MANAGEMENT | THE RENA GROUP | RENA ADVISORS LLC

CRD#: 164431 / SEC#: 801-77110

RIA

Registered Investment Advisory firm - (9/13/2012 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

New Jersey
(8/15/2022)

IAR

New York
(8/16/2021)

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: 11/14/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/21/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 8/16/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 7/12/2016

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 2/2/1994

General Securities Representative Examination

Current Firm

WESTMORE ASSET MANAGEMENT

RENA ADVISORS | WESTMORE ASSET MANAGEMENT | THE RENA GROUP | RENA ADVISORS LLC

CRD#: 164431 / SEC#: 801-77110

RIA

Registered Investment Advisory firm - (9/13/2012 Approved)

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

1 Blue Hill Plaza Lobby Level, Suite 1509, Pearl River, NY 10965

Mailing Address

Phone number

(347) 308-7886

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV FORM 2A (2/18/2025)

Regulatory assets under management

Total Number of Accounts	58
AUM (Assets Under Management)	$ 48,471,085

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

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Anita Srivastava

MORGAN STANLEY

IAR

Paramus, NJ

Brian Marchini

LPL ENTERPRISE, LLC

IAR

White Plains, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles P. Carmona

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Patrick Carmona's CRS (Customer Relationship Summary).

Certified licenses

Experience

TORINO CAPITAL LLC

TORINO CAPITAL LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

UBS INTERNATIONAL INC.

UBS INTERNATIONAL INC.

CITICORP INVESTMENT SERVICES

BNP PARIBAS SECURITIES CORP.

CITICORP SECURITIES, INC.

Primary Firm SEC Registration

WESTMORE ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 11/14/2015

Series 65

Date: 12/21/2009

SIE

Date: 8/16/2017

Series 79

Date: 7/12/2016

Series 7

Date: 2/2/1994

Current Firm

WESTMORE ASSET MANAGEMENT

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WESTMORE ASSET MANAGEMENT

TRUST BUT VERIFY

Similar Advisors