BC
Brent M. Carman
CAPITAL WEALTH ALLIANCE
Scottsdale, AZ 85255
Some features on this profile are disabled
CRD#: 4809579
BC
Professional summary
Brent Michael Carman, who also goes by Brent Carmen, is a registered financial advisor currently at CAPITAL WEALTH ALLIANCE, LLC located in Scottsdale, Arizona.
Brent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Brent has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brent Carmen
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) ESTATE DOCUMENTS PRO. ADDRESS: 17015 NORTH SCOTTSDALE RD SUITE 250,SCOTTSDALE, AZ NATURE OF THE BUSINESS: REFERRAL FEES POSITION/TITLE: REFERRAL FEES INVESTMENT RELATED:NO START DATE: 03/25/2015 HOURS PER MONTH DEVOTED TO THIS BUSINESS: 2 HOURS PER MONTH DEVOTED TO THIS BUSINESS DURING TRADING HOURS: 1 DESCRIPTION OF DUTIES: -REFERRING CLIENTS AND/OR CONTACTS TO A SOFTWARE AND DATABASE SYSTEM TO DEVELOP TRUST AND WILL (ESTATE DOCUMENTS). I AM SIMPLY INTRODUCING THIS SERVICE TO THE CLIENT AS ONE OF MULTIPLE OPTIONS. 2) PRO FINANCIAL HEALTH. BUSINESS OWNER. NOT INVESTMENT RELATED. STARTED:11/2017. GILBERT, AZ. 2 HRS PER MONTH, 0 DURING TRADING HRS. NOT OPERATING DAILY ACTIVITIES OF BUSINESS. 3) Capital Wealth Insurance LLC - No - 17015 N Scottsdale Rd Ste 250 Scottsdale AZ 85255 - Insurance - Partner & Agent - 6/28/18 - 1hr/mo - 0hrs/mo during trading hrs - As partner I oversee the business aspect of the LLC. As agent I sell insurance 4)Merition Advisors LLC - No - 17015 N Scottsdale Rd Ste 250 Scottsdale AZ 85255 - DBA - Owner - 6/28/18 - 0hrs/mo - 0hrs/mo - DBA 5) Capital Wealth Holding LLC - No - 17015 N Scottsdale Rd Ste 250 Scottsdale AZ 85255 - Holding company for RIA - Partner - 6/28/18 - 1hr/mo - 0hrs/mo during trading hrs - As partner I oversee the business of the holding company for the RIA 6) Commercium (Personal investment into blockchain bank) - no - no phyical address for activity - blockchain bank - investor - have not participated yet - 0hrs/mo - 0hrs/mo during trading hrs - none, this is a silent investment into class c shares of the bank
CRS (Client Relationship Summary) - RIA
Click below to view Brent Michael Carman'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®
NoneExperience
Current
October 1, 2018 - Present
CAPITAL WEALTH ALLIANCE, LLC
Office #1: 17015 North Scottsdale Road Suite 250, Scottsdale, AZ 85255RIA
CRD#: 298257
Scottsdale, AZ
Past
October 2, 2018 - January 30, 2023
KINGSWOOD CAPITAL PARTNERS, LLC
BD
CRD#: 288898
Scottsdate, AZ
Past
December 5, 2012 - October 2, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
SCOTTSDALE, AZ
Past
November 2, 2012 - October 2, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
SCOTTSDALE, AZ
Past
January 3, 2011 - November 6, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
TEMPE, AZ
Past
January 3, 2011 - November 6, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
TEMPE, AZ
Past
October 1, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
TEMPE, AZ
Past
September 23, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
TEMPE, AZ
Past
July 6, 2005 - September 23, 2008
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
PHOENIX, AZ
Past
July 6, 2005 - September 23, 2008
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
PHOENIX, AZ
Past
May 17, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
SCOTTSDALE, AZ
Past
May 5, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
August 9, 2004 - May 2, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
CW
CAPITAL WEALTH ALLIANCE, LLC
CAPITAL WEALTH ALLIANCE | TDC FINANCIAL, LLC | NEXT CHAPTER ADVISORY GROUP, LLC | CAPITAL WEALTH ALLIANCE, LLC
CRD#: 298257 / SEC#: 801-113992
RIA
Registered Investment Advisory firm - (9/13/2018 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
Arizona(10/3/2018)
IAR
Texas(10/1/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CW
CAPITAL WEALTH ALLIANCE, LLC
CAPITAL WEALTH ALLIANCE | TDC FINANCIAL, LLC | NEXT CHAPTER ADVISORY GROUP, LLC | CAPITAL WEALTH ALLIANCE, LLC
CRD#: 298257 / SEC#: 801-113992
RIA
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Contact information
Main Address
17015 North Scottsdale Road Suite 250, Scottsdale, AZ 85255
Mailing Address
Phone number
(480) 948-7590
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 881 |
| AUM (Assets Under Management) | $ 220,462,774 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
