Carlos E. Salmon
CETERA INVESTMENT ADVISERS LLC
NEW HAVEN, CT 06513
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CRD#: 5865424
Professional summary
Carlos Emmanuel Salmon, CFP®, CIMA®, CPWA®, who also goes by Carlos Salmon, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New Haven, Connecticut and CETERA WEALTH SERVICES, LLC located in New Haven, Connecticut.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Carlos has worked at 8 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carlos Salmon
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/2012 APX NUMBER OF HOURS PER WEEK: 3 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE 2. NAME OF OTHER BUSINESS: HEBREW SENIOR CARE INVESTMENT RELATED: NO ADDRESS: ONE ABRAHMS BLVD WEST HARTFORD, CT NATURE OF BUSINESS: HEALTHCARE START DATE: 01/2021 POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER APX NUMBER OF HOURS PER WEEK: .5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I'M ON THE FINANCE COMMITTEE. WE REVIEW THE FINANCIALS FOR THIS ORGANIZATION AND MAKE SURE THE ORGANIZATION RUNS IN AN EFFICIENT MANNER. 3. NAME OF OTHER BUSINESS: KYROS CONSULTING INVESTMENT RELATED: YES ADDRESS: AVON, CT NATURE OF BUSINESS: CONSULTING START DATE: 04/2020 POSITION/TITLE/RELATIONSHIP: MANAGING MEMBER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: TENNIS LESSONS, PAID SPEAKING ENGAGEMENTS, AND GENERAL CONSULTING ENGAGEMENTS. 4. NAME OF OTHER BUSINESS: WOOSTER SQUARE ADVISORS, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 11/2023 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 5. NAME OF OTHER BUSINESS: CARLOS SALMON; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 02/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Emmanuel Salmon'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: 2022
CPWA®
Start date: 2018-01-04
Expire date: 2023-12-31
Experience
Current
December 6, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 470 James Street, New Haven, CT 06513Office #2: 1053 Farmington Ave.,, Farmington, CT 06032RIA
CRD#: 105644
NEW HAVEN, CT
Current
December 4, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 470 James Street, New Haven, CT 06513BD
CRD#: 13572
New Haven, CT
Past
January 6, 2022 - November 17, 2023
CIC WEALTH, LLC
RIA
CRD#: 290198
ROCKY HILL, CT
Past
May 18, 2020 - December 16, 2021
STRATOS WEALTH ADVISORS LLC
RIA
CRD#: 283816
Rocky Hill, CT
Past
May 4, 2020 - May 6, 2020
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
GLASTONBURY, CT
Past
January 17, 2018 - July 13, 2018
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
East Hartford, CT
Past
January 9, 2018 - July 13, 2018
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
East Hartford, CT
Past
October 29, 2012 - August 23, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SPRINGFIELD, MA
Past
October 2, 2012 - August 23, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SPRINGFIELD, MA
Past
October 14, 2011 - December 5, 2011
MF GLOBAL INC.
BD
CRD#: 6731
NEW YORK, NY
Past
July 6, 2011 - September 13, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
California(12/5/2023)
RR
Connecticut(12/4/2023)
IAR
Connecticut(12/8/2023)
RR
Kansas(10/15/2024)
RR
Massachusetts(12/6/2023)
RR
New Hampshire(12/7/2023)
RR
New York(12/7/2023)
RR
North Carolina(1/4/2024)
RR
Tennessee(10/10/2024)
RR
Texas(12/6/2023)
IAR
Texas(12/6/2023)
RR
Virginia(3/31/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/4/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644New Haven, CT 06513TRUST BUT VERIFY
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