Carlos Valadez
DMK ADVISOR GROUP
San Antonio, TX
Some features on this profile are disabled
CRD#: 5102091
Professional summary
Carlos Valadez Jr., CFP®, who also goes by Carlos Valadez Jr., Carlos Valadez, is a registered financial advisor currently at DMK ADVISOR GROUP, INC. located in San Antonio, Texas.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Carlos has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carlos Valadez Jr. | Carlos Valadez
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Valadez Jr.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carlos Valadez Jr.'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: 2010
Experience
Current
March 16, 2026 - Present
DMK ADVISOR GROUP, INC.
RIA
BD
CRD#: 41067
San Antonio, TX
Current
March 18, 2026 - Present
DMK ADVISOR GROUP, INC.
Office #1: 17961 Hunting Bow Circle Suite 102, Lutz, FL 33558RIA
BD
CRD#: 41067
Lutz, FL
Past
February 14, 2022 - February 12, 2026
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
San Antonio, TX
Past
February 14, 2022 - February 12, 2026
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
San Antonio, TX
Past
October 14, 2020 - January 27, 2022
OSAIC WEALTH, INC.
BD
CRD#: 23131
SAN ANTONIO, TX
Past
June 22, 2020 - September 29, 2020
VICTORY CAPITAL SERVICES, INC.
BD
CRD#: 37059
San Antonio, TX
Past
June 18, 2020 - September 29, 2020
VICTORY CAPITAL MANAGEMENT INC.
RIA
CRD#: 106189
SAN ANTONIO, TX
Past
July 1, 2019 - December 23, 2019
VICTORY CAPITAL SERVICES, INC.
BD
CRD#: 37059
San Antonio, TX
Past
January 8, 2018 - July 3, 2019
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
SAN ANTONIO, TX
Past
January 12, 2009 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
San Antonio, TX
Past
February 11, 2008 - July 1, 2019
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
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".
DA
DMK ADVISOR GROUP, INC.
DMK ADVISOR GROUP, INC. | STEPHEN A. KOHN & ASSOCIATES, LTD.
CRD#: 41067 / SEC#: 801-121389, 8-49279
RIA
Registered Investment Advisory firm - SEC (6/3/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Arkansas
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)California
Registered Investment Advisory firm - SEC (7/8/2021 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)Delaware
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (10/18/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/15/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2005 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Maine
Registered Investment Advisory firm - SEC (9/5/2003 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/15/2002 Terminated)Michigan
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Mississippi
Registered Investment Advisory firm - SEC (10/18/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (6/28/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)New York
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Puerto Rico
Registered Investment Advisory firm - SEC (6/3/2021 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Washington
Registered Investment Advisory firm - SEC (10/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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(4/7/2026)
IAR
Texas(3/16/2026)
RR
Texas(3/19/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DA
DMK ADVISOR GROUP, INC.
DMK ADVISOR GROUP, INC. | STEPHEN A. KOHN & ASSOCIATES, LTD.
CRD#: 41067 / SEC#: 801-121389, 8-49279
RIA
Registered Investment Advisory firm - SEC (6/3/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Arkansas
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)California
Registered Investment Advisory firm - SEC (7/8/2021 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)Delaware
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (10/18/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/15/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2005 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Maine
Registered Investment Advisory firm - SEC (9/5/2003 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/15/2002 Terminated)Michigan
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Mississippi
Registered Investment Advisory firm - SEC (10/18/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (6/28/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)New York
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Puerto Rico
Registered Investment Advisory firm - SEC (6/3/2021 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Washington
Registered Investment Advisory firm - SEC (10/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
17961 Hunting Bow Circle Suite 102, Lutz, FL 33558
Mailing Address
17961 Hunting Bow Circle Suite 102, Lutz, FL 33558
Phone number
(303) 470-5664
Established
Colorado since 04/30/1996
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
42
SEC notice filing (35 States and Territories)
FINRA licenses (46 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DESAI, JANAK R | DIRECTOR | 6307455 |
| DOUGLAS, KELVIN RAY | DIRECTOR | 4723703 |
| MISRA, SUNIL DUTT | DIRECTOR/PRINCIPAL | 5617829 |
| PEREZ, JORGE RAMON | DIRECTOR | 2253547 |
| SCHWARTZ, HAROLD ALAN | CEO/PRINCIPAL | 841225 |
| BASKETT, ERIN ELAINE | CHIEF COMPLIANCE OFFICER | 4538604 |
| GALLIGAN, PETER B | FINOP | 1873304 |
| GROSMAN, BARRY JULIAN | DIRECTOR | 7967542 |
| KOHN, STEPHEN ALAN | MUNI PRINCIPAL | 1267211 |
| OHMAN, JOHN DAVID | ROP/CROP | 1059085 |
Regulatory assets under management
| Total Number of Accounts | 469 |
| AUM (Assets Under Management) | $ 84,480,870 |
Disclosures
| Regulatory Event | 5 |
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.
