Carlos R. Delgado
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 Reubin Delgado, CFP®, CPWA®, who also goes by Carlos R Delgado, Carlos R. Delgado, Carlos Delgado, Charles Delgado, Carl R Delgado, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2005. Carlos had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2009
Start date: 2021-12-28
Expire date: 2023-11-30
Experience
October 31, 2022 - April 9, 2024
PRINCIPAL ADVISED SERVICES
August 2, 2022 - October 31, 2022
PRINCIPAL SECURITIES, INC.
April 20, 2022 - April 9, 2024
PRINCIPAL SECURITIES, INC.
November 9, 2021 - March 15, 2022
EMPOWER ADVISORY GROUP, LLC
November 9, 2021 - March 15, 2022
EMPOWER FINANCIAL SERVICES, INC.
March 28, 2017 - June 18, 2021
CENTAURUS FINANCIAL, INC.
March 28, 2017 - June 18, 2021
CENTAURUS FINANCIAL, INC.
November 14, 2013 - March 24, 2017
MFA WEALTH SERVICES
October 31, 2013 - March 15, 2017
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
September 15, 2008 - November 5, 2013
ALLIANCE ADVISORY & SECURITIES, INC.
September 4, 2008 - September 11, 2008
1ST GLOBAL CAPITAL CORP.
February 9, 2007 - August 29, 2008
ALLIANCE ADVISORY & SECURITIES, INC.
December 14, 2005 - July 21, 2006
CITICORP INVESTMENT SERVICES
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
