CD
Carlos Delgado-mejia
UNITED BROKERAGE SERVICES
Fredericksburg, VA 22408
Some features on this profile are disabled
CRD#: 7126502
CD
Professional summary
Carlos Delgado-mejia, who also goes by Carlos Robert Delgado-mejia, Carlos Delgadomejia, Carlos R Delgado-mejia, is a registered financial advisor currently at UNITED BROKERAGE SERVICES, INC located in Fredericksburg, Virginia.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Carlos has worked at 7 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carlos Robert Delgado-Mejia | Carlos Delgadomejia | Carlos R Delgado-Mejia
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 Delgado-mejia's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carlos Delgado-mejia'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®
NoneExperience
Current
April 30, 2026 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 10800 A Courthouse Road, Fredericksburg, VA 22408RIA
BD
CRD#: 39062
Fredericksburg, VA
Current
April 30, 2026 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 10800 A Courthouse Road, Fredericksburg, VA 22408RIA
BD
CRD#: 39062
Fredericksburg, VA
Past
August 11, 2025 - May 4, 2026
TD PRIVATE CLIENT WEALTH LLC
RIA
CRD#: 164484
Rockville, MD
Past
August 8, 2025 - May 4, 2026
TD PRIVATE CLIENT WEALTH LLC
BD
CRD#: 164484
NEW YORK, NY
Past
October 29, 2024 - May 19, 2025
NAVY FEDERAL INVESTMENT SERVICES, LLC
RIA
CRD#: 138459
FREDERICKSBURG, VA
Past
October 29, 2024 - May 19, 2025
NAVY FEDERAL INVESTMENT SERVICES, LLC
BD
CRD#: 138459
FREDERICKSBURG, VA
Past
July 26, 2021 - October 28, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
FREDERICKSBURG, VA
Past
June 2, 2021 - October 28, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
COVINGTON, KY
Past
August 4, 2020 - April 20, 2021
MORGAN STANLEY
RIA
CRD#: 149777
RESTON, VA
Past
February 27, 2020 - April 20, 2021
MORGAN STANLEY
BD
CRD#: 149777
RESTON, VA
Past
August 23, 2019 - October 26, 2019
TD AMERITRADE, INC.
BD
CRD#: 7870
Columbia, MD
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".
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia 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
District of Columbia(4/30/2026)
RR
Maryland(4/30/2026)
IAR
Maryland(4/30/2026)
RR
Virginia(4/30/2026)
IAR
Virginia(4/30/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/23/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
514 Market Street, Parkersburg, WV 26101
Mailing Address
P. O. Box 1508, Parkersburg, WV 26102-1508
Phone number
(888) 424-6158
Established
West Virginia since 04/24/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
101
SEC notice filing (17 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED ASSET MANAGEMENT CORP. | OWNER | |
| ADAMS, RICHARD MATTHEW JR | CHAIRMAN OF THE BOARD/DIRECTOR | 2656091 |
| BOARD, ANGIE MARIE | FINOP | 6464533 |
| EARL, MICHEAL LEN | CHIEF COMPLIANCE OFFICER | 4266715 |
| GURTIS, JULIE RITCHIE | DIRECTOR | |
| HUMPHREY, MATTHEW LEE | CHIEF EXECUTIVE OFFICER/DIRECTOR | 5943475 |
| MOCK, DONALD FREDERICK | DIRECTOR | 5059205 |
| MUDLAFF, THOMAS JAMES | CHIEF OPERATIONS OFFICER | 2359466 |
| REYNOLDS, FRANK KEVIN | DIRECTOR | 5731814 |
| SHAVER, AMI LEE | DIRECTOR | 2771684 |
Regulatory assets under management
| Total Number of Accounts | 1,889 |
| AUM (Assets Under Management) | $ 389,130,559 |
Disclosures
| Bond | 1 |
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.
