Carlos R. Mendoza

SOLANO WEALTH ADVISORS

FAIRFIELD, CA 94534

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CRD#: 4237221

Professional summary

Carlos Romero Mendoza, CFP® is a registered financial advisor currently at SOLANO WEALTH ADVISORS located in Fairfield, California and LPL FINANCIAL LLC located in Fairfield, California.

Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Carlos has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?

Insurance Planning

Comprehensive Financial Planni...

Retirement Planning

Long-term Care

Investment Planning

Elder Care

What is your minimum asset requirement?

500K

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 Romero Mendoza'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: 2013

Experience

Current

July 1, 2024 - Present

SOLANO WEALTH ADVISORS

Office #1: 1300 Oliver Road Suite 210, Fairfield, CA 94534

RIA

CRD#: 322037

FAIRFIELD, CA

Current

March 2, 2017 - Present

LPL FINANCIAL LLC

Office #1: 1300 Oliver Rd., Ste 210, Fairfield, CA 94534

RIA

CRD#: 6413

Fairfield, CA

Past

March 3, 2017 - August 20, 2024

SOLANO WEALTH MANAGEMENT, INC.

RIA

CRD#: 168720

FAIRFIELD, CA

Past

January 3, 2011 - March 3, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

FAIRFIELD, CA

Past

January 3, 2011 - March 3, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

FAIRFIELD, CA

Past

April 23, 2002 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

FAIRFIELD, CA

Past

January 4, 2002 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

FAIRFIELD, CA

Past

September 18, 2001 - December 31, 2001

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

SOLANO WEALTH ADVISORS

SOLANO WEALTH ADVISORS | SOLANO WEALTH MANAGEMENT | SOLANO WEALTH INVESTMENT ADVISORS, LLC

CRD#: 322037 / SEC#: 801-130590

RIA

Registered Investment Advisory firm - (7/1/2024 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.

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

Arizona
(7/21/2022)

California
(3/2/2017)

IAR

California
(7/1/2024)

Colorado
(4/21/2022)

Florida
(1/12/2023)

Idaho
(5/2/2024)

Illinois
(11/7/2024)

Indiana
(5/8/2024)

Louisiana
(3/17/2026)

Maine
(5/1/2024)

Maryland
(5/2/2024)

Missouri
(5/3/2024)

Montana
(5/8/2024)

Nevada
(3/2/2017)

New Mexico
(3/2/2017)

North Carolina
(5/2/2024)

Oregon
(3/21/2022)

South Carolina
(5/1/2024)

Texas
(5/1/2024)

IAR

Texas
(7/1/2024)

Utah
(5/1/2024)

Washington
(1/17/2020)

West Virginia
(5/8/2024)

Wisconsin
(3/2/2017)

Wyoming
(5/1/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/17/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/29/2001

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: 3/5/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/17/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/4/2020

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SOLANO WEALTH ADVISORS

SOLANO WEALTH ADVISORS | SOLANO WEALTH MANAGEMENT | SOLANO WEALTH INVESTMENT ADVISORS, LLC

CRD#: 322037 / SEC#: 801-130590

RIA

Registered Investment Advisory firm - (7/1/2024 Approved)

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Contact information

Main Address

1300 Oliver Road Suite 210, Fairfield, CA 94534

Mailing Address

Phone number

(707) 435-8400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 - WRAP FEE BROCHURE (2/9/2026)

FORM ADV PART 2A - FIRM BROCHURE (2/9/2026)

Regulatory assets under management

Total Number of Accounts	740
AUM (Assets Under Management)	$ 331,919,831

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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Carlos R. Mendoza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Romero Mendoza's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOLANO WEALTH ADVISORS

LPL FINANCIAL LLC

SOLANO WEALTH MANAGEMENT, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

SOLANO WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/17/2002

Series 63

Date: 10/29/2001

SIE

Date: 10/1/2018

Series 7

Date: 3/5/2002

Series 6

Date: 9/17/2001

Series 24

Date: 6/4/2020

FINRA

Current Firm

SOLANO WEALTH ADVISORS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOLANO WEALTH ADVISORS

TRUST BUT VERIFY

Contact information

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