Daniel L. Carmo

TEMPUS WEALTH PLANNING

Irvine, CA 92618

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CRD#: 2899002

Professional summary

Daniel Louis Carmo, who also goes by Daniel L Carmo, is a registered financial advisor currently at TEMPUS WEALTH PLANNING, LLC located in Irvine, California.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Daniel has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel L Carmo

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 Daniel Louis Carmo'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

May 28, 2021 - Present

TEMPUS WEALTH PLANNING, LLC

Office #1: 100 Spectrum Center Drive Suite 1070, Irvine, CA 92618

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

June 25, 1997 - May 10, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

TEMPUS WEALTH PLANNING, LLC

SSJ LLC | TEMPUS WEALTH PLANNING, LLC

CRD#: 285349 / SEC#: 801-108462

RIA

Registered Investment Advisory firm - (11/7/2016 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
(5/28/2021)

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

IAR

Series 66

Date: 12/23/1997

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/10/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/23/1997

General Securities Representative Examination

Current Firm

TEMPUS WEALTH PLANNING, LLC

SSJ LLC | TEMPUS WEALTH PLANNING, LLC

CRD#: 285349 / SEC#: 801-108462

RIA

Registered Investment Advisory firm - (11/7/2016 Approved)

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Contact information

Main Address

100 Spectrum Center Drive Suite 1070, Irvine, CA 92618

Mailing Address

Phone number

(949) 393-2525

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts	1,620
AUM (Assets Under Management)	$ 506,514,848

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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Advisor Monitoring

Firm Stability Insights

Daniel L. Carmo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Louis Carmo's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

TEMPUS WEALTH PLANNING, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/23/1997

SIE

Date: 10/1/2018

Series 31

Date: 12/10/2004

Series 7

Date: 6/23/1997

Current Firm

TEMPUS WEALTH PLANNING, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TEMPUS WEALTH PLANNING, LLC

TRUST BUT VERIFY

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