Ann M. Arceo

DEL-SETTE CAPITAL MANAGEMENT

RIO RANCHO, NM

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CRD#: 5869801

Professional summary

Ann Marie Arceo, who also goes by Ann Marie Hinrichs, is a registered financial advisor currently at DEL-SETTE CAPITAL MANAGEMENT, LLC located in Rio Rancho, New Mexico.

Ann is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Ann has worked at 5 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ann Marie Hinrichs

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.

ROOTED PLANNING GROUP; INVESTMENT-RELATED; 10 E MARKET ST, CORNING, NY 14830; PARAPLANNER AND OPERATIONS PERSON; 8/2023; 60 HOURS PER MONTH; ASSISTING WITH CLIENT SYSTEMS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ann Marie Arceo'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®

None

Experience

Current

December 8, 2023 - Present

DEL-SETTE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 159052

RIO RANCHO, NM

Past

September 14, 2020 - November 27, 2023

ROOTED PLANNING GROUP

RIA

CRD#: 284120

Rio Rancho, NM

Past

August 15, 2013 - December 3, 2020

SAVVY DUO FINANCIAL PLANNING, INC.

RIA

CRD#: 168150

FORT COLLINS, CO

Past

January 15, 2013 - August 7, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOS ANGELES, CA

Past

January 11, 2013 - August 7, 2013

LPL FINANCIAL LLC

CRD#: 6413

LOS ANGELES, CA

Past

November 27, 2012 - December 31, 2012

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

TUSTIN, CA

Past

November 20, 2012 - December 31, 2012

NATIONAL PLANNING CORPORATION

CRD#: 29604

TUSTIN, CA

Past

September 8, 2011 - December 4, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

TUSTIN, CA

Past

September 8, 2011 - December 4, 2012

LPL FINANCIAL LLC

CRD#: 6413

TUSTIN, CA

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".

DEL-SETTE CAPITAL MANAGEMENT, LLC

CRD#: 159052 / SEC#: 801-79849

RIA

Registered Investment Advisory firm - (6/5/2014 Approved)

New York

Registered Investment Advisory firm - (6/12/2014 Terminated)

Texas

Registered Investment Advisory firm - (6/12/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New Mexico
(12/8/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/30/2011

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/7/2011

General Securities Representative Examination

Current Firm

DEL-SETTE CAPITAL MANAGEMENT, LLC

CRD#: 159052 / SEC#: 801-79849

RIA

Registered Investment Advisory firm - (6/5/2014 Approved)

New York

Registered Investment Advisory firm - (6/12/2014 Terminated)

Texas

Registered Investment Advisory firm - (6/12/2014 Terminated)

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Contact information

Main Address

Schenectady, NY

Mailing Address

Phone number

(518) 793-3851

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DEL-SETTE ADV 2A ("DISCLOSURE BROCHURE") AND ADV2B ("BROCHURE SUPPLEMENT") (11/4/2025)

Regulatory assets under management

Total Number of Accounts	680
AUM (Assets Under Management)	$ 145,817,030

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/03/2025	Cover Page	Report
01/31/2025	Cover Page	Report
11/02/2023	Cover Page	Report
01/30/2023	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.

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Firm Stability Insights

Ann M. Arceo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ann Marie Arceo's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROOTED PLANNING GROUP

SAVVY DUO FINANCIAL PLANNING, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

DEL-SETTE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/30/2011

Series 7

Date: 9/7/2011

Current Firm

DEL-SETTE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DEL-SETTE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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