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Daniel B. Carnes

ELDERADO FINANCIAL
MONTROSE, CO 81401
Some features on this profile are disabled
CRD#: 6921500
DC

Professional summary

Daniel B Carnes is a registered financial advisor currently at ELDERADO FINANCIAL, INC located in Montrose, Colorado.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Daniel has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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 Daniel B Carnes'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

January 23, 2020 - Present

ELDERADO FINANCIAL, INC

Office #1: 1030 S. Townsend Ave Suite A, Montrose, CO 81401
RIA
CRD#: 112908
MONTROSE, CO
Past

September 7, 2018 - November 12, 2019

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Phoenix, AZ

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".
EF
ELDERADO FINANCIAL, INC
ELDERADO FINANCIAL | PRESTIGE FINANCIAL ADVISORS, INC. | ELDERADO FINANCIAL, INC. | ELDERADO FINANCIAL, INC

CRD#: 112908 / SEC#: 801-121234

RIA
Registered Investment Advisory firm - (5/17/2021 Approved)
California
Registered Investment Advisory firm - (4/25/2008 Terminated)
Colorado
Registered Investment Advisory firm - (6/8/2021 Terminated)
Texas
Registered Investment Advisory firm - (6/1/2021 Terminated)

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
Colorado
(1/23/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/23/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/3/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/7/2018
General Securities Representative Examination

Current Firm

EF
ELDERADO FINANCIAL, INC
ELDERADO FINANCIAL | PRESTIGE FINANCIAL ADVISORS, INC. | ELDERADO FINANCIAL, INC. | ELDERADO FINANCIAL, INC

CRD#: 112908 / SEC#: 801-121234

RIA
Registered Investment Advisory firm - (5/17/2021 Approved)
California
Registered Investment Advisory firm - (4/25/2008 Terminated)
Colorado
Registered Investment Advisory firm - (6/8/2021 Terminated)
Texas
Registered Investment Advisory firm - (6/1/2021 Terminated)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1030 S. Townsend Ave Suite A, Montrose, CO 81401
Mailing Address
Phone number
(970) 249-9900
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (8 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

Part 2 Brochures

ADV PART 2 2025 (2/9/2026)

Regulatory assets under management

Total Number of Accounts1,071
AUM (Assets Under Management)$ 237,228,760

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

ELDERADO FINANCIAL, INC

CRD#: 112908Montrose, CO 81401

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