CM
Carlos R. Mendoza
SOLANO WEALTH MANAGEMENT
FAIRFIELD, CA 94534
Some features on this profile are disabled
CRD#: 4237221
CM
Professional summary
Carlos Romero Mendoza, CFP® is a registered financial advisor currently at SOLANO WEALTH MANAGEMENT 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.
1. 09/08/2021 - Producers Financial Group West - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Producer - Start Date: 03/01/2017 - 10 Hours Per Month/5 Hours During Securities Trading. 2. 08/16/2024 - Solano Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/15/2024 - 160 Hours Per Month/ 8 Hours During Trading 3. 08/27/2024 - Solano Wealth Investment Advisors, LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 08/15/2024 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services to Solano Wealth Investment Advisors, LLC , an independent investment advisor firm. I started this business activity in 8/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 11/18/2024 - Solano Wealth Management, Inc. - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 11/11/2024 - 160 Hours Per month/ 8 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Romero Mendoza'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®
CFP®
Start date: 2013
Experience
Current
July 1, 2024 - Present
SOLANO WEALTH MANAGEMENT
Office #1: 1300 Oliver Road Suite 210, Fairfield, CA 94534RIA
CRD#: 322037
FAIRFIELD, CA
Current
March 2, 2017 - Present
LPL FINANCIAL LLC
Office #1: 1300 Oliver Rd., Ste 210, Fairfield, CA 94534RIA
BD
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
BD
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
BD
CRD#: 10582
FAIRFIELD, CA
Past
September 18, 2001 - December 31, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
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".
SW
SOLANO WEALTH MANAGEMENT
SOLANO WEALTH INVESTMENT ADVISORS, LLC | SOLANO WEALTH MANAGEMENT
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.RR
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
RR
Arizona(7/21/2022)
RR
California(3/2/2017)
IAR
California(7/1/2024)
RR
Colorado(4/21/2022)
RR
Florida(1/12/2023)
RR
Idaho(5/2/2024)
RR
Illinois(11/7/2024)
RR
Indiana(5/8/2024)
RR
Maine(5/1/2024)
RR
Maryland(5/2/2024)
RR
Missouri(5/3/2024)
RR
Montana(5/8/2024)
RR
Nevada(3/2/2017)
RR
New Mexico(3/2/2017)
RR
North Carolina(5/2/2024)
RR
Oregon(3/21/2022)
RR
South Carolina(5/1/2024)
RR
Texas(5/1/2024)
IAR
Texas(7/1/2024)
RR
Utah(5/1/2024)
RR
Washington(1/17/2020)
RR
West Virginia(5/8/2024)
RR
Wisconsin(3/2/2017)
RR
Wyoming(5/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SOLANO WEALTH MANAGEMENT
SOLANO WEALTH INVESTMENT ADVISORS, LLC | SOLANO WEALTH MANAGEMENT
CRD#: 322037 / SEC#: 801-130590
RIA
Registered Investment Advisory firm - (7/1/2024 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
1300 Oliver Road Suite 210, Fairfield, CA 94534
Mailing Address
Phone number
(707) 435-8400
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 702 |
| AUM (Assets Under Management) | $ 299,590,045 |
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.
