Carmen D. Caruso

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CRD#: 7135850

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Carmen David Caruso II, CFP® was a registered financial professional .

Carmen is a previously registered financial professional and started their career in finance in 2020. Carmen had worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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: 2023

Experience

Past

July 11, 2023 - September 30, 2025

DEL-SETTE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 159052

SCHENECTADY, NY

Past

November 15, 2022 - June 20, 2023

TACONIC ADVISORS

RIA

CRD#: 123961

SAUGERTIES, NY

Past

June 11, 2021 - July 14, 2022

DEL-SETTE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 159052

SCHENECTADY, NY

Past

October 5, 2020 - May 24, 2021

LPL FINANCIAL LLC

CRD#: 6413

SLINGERLANDS, NY

Past

January 29, 2020 - September 17, 2020

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

ALBANY, 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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/17/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/3/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/22/2019

Securities Industry Essentials 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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Advisor Monitoring

Firm Stability Insights

Carmen D. Caruso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TACONIC ADVISORS

DEL-SETTE CAPITAL MANAGEMENT, LLC

LPL FINANCIAL LLC

PURSHE KAPLAN STERLING INVESTMENTS

Primary Firm SEC Registration

DEL-SETTE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/17/2020

Series 7TO

Date: 3/3/2024

SIE

Date: 2/22/2019

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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