Todd J. Carbone

CAPITAL CS GROUP

Irvine, CA 92618

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CRD#: 4688101

Professional summary

Todd Jared Carbone, who also goes by Todd Jared Carbone J, Todd Carbone, is a registered financial advisor currently at CAPITAL CS GROUP, LLC located in Irvine, California.

Todd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Todd has worked at 8 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Todd Jared Carbone J | Todd Carbone

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) YER BIT, LLC; NOT INVESTMENT-RELATED; 33552 BREMERTON, DANA POINT, CA 92629; FISHING APPAREL; PARTNER; JANUARY 2018; APPROX 10 HOURS PER MONTH; APPROX 0 HOURS DURING TRADING HOURS; PRODUCT DEVELOPMENT 2) HOA Invest / 2003 S. Ola Vista San Clemente, CA 92672 / HOA CRM Software / Investment-Related / Owner / 05/2023 / 2 hours per Month / 0 hours per month during securities trading hours / Software Developer

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Jared Carbone'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 12, 2019 - Present

CAPITAL CS GROUP, LLC

Office #1: 15375 Barranca Parkway Suite G-110, Irvine, CA 92618

RIA

CRD#: 304523

Irvine, CA

Past

February 20, 2014 - August 26, 2019

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

IRVINE, CA

Past

February 20, 2014 - August 26, 2019

UBS FINANCIAL SERVICES INC.

CRD#: 8174

IRVINE, CA

Past

June 1, 2009 - February 27, 2014

MORGAN STANLEY

RIA

CRD#: 149777

IRVINE, CA

Past

June 1, 2009 - February 27, 2014

MORGAN STANLEY

CRD#: 149777

IRVINE, CA

Past

August 3, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

IRVINE, CA

Past

August 3, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

IRVINE, CA

Past

November 1, 2004 - August 6, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEWPORT BEACH, CA

Past

November 1, 2004 - August 6, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEWPORT BEACH, CA

Past

August 25, 2004 - October 27, 2004

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

NEWPORT BEACH, CA

Past

April 7, 2004 - July 22, 2004

GREAT PACIFIC SECURITIES

CRD#: 29251

COSTA MESA, CA

Past

February 3, 2004 - April 7, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LAGUNA HILLS, CA

Past

September 1, 2003 - April 7, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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".

CAPITAL CS GROUP, LLC

CRD#: 304523 / SEC#: 801-120526

RIA

Registered Investment Advisory firm - (3/15/2021 Approved)

California

Registered Investment Advisory firm - (4/16/2021 Terminated)

Connecticut

Registered Investment Advisory firm - (3/17/2021 Terminated)

Florida

Registered Investment Advisory firm - (3/17/2021 Terminated)

Georgia

Registered Investment Advisory firm - (4/21/2021 Terminated)

Louisiana

Registered Investment Advisory firm - (4/1/2021 Terminated)

Texas

Registered Investment Advisory firm - (3/17/2021 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.

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
(8/12/2019)

IAR

Connecticut
(1/24/2020)

IAR

Georgia
(3/25/2020)

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: 1/2/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/19/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/29/2003

General Securities Representative Examination

Current Firm

CAPITAL CS GROUP, LLC

CRD#: 304523 / SEC#: 801-120526

RIA

Registered Investment Advisory firm - (3/15/2021 Approved)

California

Registered Investment Advisory firm - (4/16/2021 Terminated)

Connecticut

Registered Investment Advisory firm - (3/17/2021 Terminated)

Florida

Registered Investment Advisory firm - (3/17/2021 Terminated)

Georgia

Registered Investment Advisory firm - (4/21/2021 Terminated)

Louisiana

Registered Investment Advisory firm - (4/1/2021 Terminated)

Texas

Registered Investment Advisory firm - (3/17/2021 Terminated)

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Contact information

Main Address

15375 Barranca Parkway Suite G-110, Irvine, CA 92618

Mailing Address

Phone number

(949) 447-5405

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (2/13/2025)

Regulatory assets under management

Total Number of Accounts	473
AUM (Assets Under Management)	$ 175,440,699

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

Todd J. Carbone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Jared Carbone's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

METLIFE INVESTORS DISTRIBUTION COMPANY

GREAT PACIFIC SECURITIES

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

CAPITAL CS GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/2/2004

SIE

Date: 10/1/2018

Series 3

Date: 6/19/2008

Series 7

Date: 8/29/2003

Current Firm

CAPITAL CS GROUP, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL CS GROUP, LLC

TRUST BUT VERIFY

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