Carlos N. Resendez

Some features on this profile are disabled

CRD#: 4363178

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Carlos Nmn Resendez, who also goes by Carlos Resendez, was a registered financial professional .

Carlos is a previously registered financial professional and started their career in finance in 2000. Carlos had worked at 5 firms and has passed the Series 66, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carlos Resendez

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) UNIVERSITY HEALTH SYSTEM PENSION PLAN, 4502 MEDICAL DRIVE,SAN ANTONIO, TEXAS 78229, PENSION PLAN FOR HOSPITAL EMPLOYEES, TRUSTEE, HRS PER MONTH. (2) RESENDEZ PROPERTIES NOT AN INVESTMENT RELATED BUSINESS. COMP IS PARTICIPATION IN PROFITS, OWNER OF RENTAL PROPERTIES DEVOT 10HRS A MONTH 0 DURING TRADING HRS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 6, 2013 - February 10, 2023

CARY STREET PARTNERS

RIA

CRD#: 128545

SAN ANTONIO, TX

Past

December 6, 2013 - February 10, 2023

CARY STREET PARTNERS

CRD#: 128089

SAN ANTONIO, TX

Past

May 7, 2009 - December 9, 2013

RIVERSTONE WEALTH MANAGEMENT, INC.

RIA

CRD#: 40418

SAN ANTONIO, TX

Past

May 7, 2009 - December 9, 2013

RIVERSTONE WEALTH MANAGEMENT, INC.

CRD#: 40418

SAN ANTONIO, TX

Past

May 3, 2007 - May 13, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN ANTONIO, TX

Past

February 9, 2007 - May 13, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN ANTONIO, TX

Past

October 17, 2000 - September 7, 2006

PRESIDIO ASSET MANAGEMENT LLC

RIA

CRD#: 108770

SAN ANTONIO, TX

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".

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 7/9/2007

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/29/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/1/2007

General Securities Representative Examination

Current Firm

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 Terminated)

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

901 East Byrd Street Suite 1001, Richmond, VA 23219

Mailing Address

Phone number

(804) 340-8100

Established

Firm type

Fiscal year end

# of Employees

166

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CSPIA FORM ADV PART 2A FIRM BROCHURE DATED 06/27/2025 (6/27/2025)

CSPIA FORM ADV PART 2A WRAP BROCHURE DATED 06/27/2025 (6/27/2025)

Regulatory assets under management

Total Number of Accounts	13,853
AUM (Assets Under Management)	$ 8,263,891,736

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/22/2024	Cover Page	Report
07/25/2023	Cover Page	Report
01/27/2023	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carlos N. Resendez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CARY STREET PARTNERS

RIVERSTONE WEALTH MANAGEMENT, INC.

RIVERSTONE WEALTH MANAGEMENT, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PRESIDIO ASSET MANAGEMENT LLC

Primary Firm SEC Registration

CARY STREET PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 7/9/2007

Series 65

Date: 9/29/2000

SIE

Date: 10/1/2018

Series 7

Date: 5/1/2007

Current Firm

CARY STREET PARTNERS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARY STREET PARTNERS

TRUST BUT VERIFY

Similar Advisors