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Carlos Emmanuel Salmon

Carlos E. Salmon

CETERA INVESTMENT ADVISERS
NEW HAVEN, CT 06513
Some features on this profile are disabled
CRD#: 5865424
Carlos Emmanuel Salmon

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 Farmington, 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Emmanuel Salmon'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®
CFP®

Certified Financial Planner

Start date: 2022

CIMA®

Certified Investment Management Analyst

CPWA®

Certified Private Wealth Advisor

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 06032
RIA
CRD#: 105644
NEW HAVEN, CT
Current

December 4, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1053 Farmington Ave, Farmington, CT 06032Office #2: 470 James Street, New Haven, CT 06513
BD
CRD#: 13572
Farmington, 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
Texas
(12/6/2023)
IAR
Texas
(12/6/2023)
RR
Virginia
(3/31/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/28/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/26/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/4/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/5/2011
General Securities Representative Examination
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)
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644New Haven, CT 06513

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