Carlos L. Marbot

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CRD#: 7277210

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.

Carlos Luis Marbot, who also goes by Carlos L Marbot, Carlos Luis Marbot, Carlos Marbot, Carlos L. Marbot, was a registered financial professional .

Carlos is a previously registered financial professional and started their career in finance in 2020. Carlos had worked at 14 firms and has passed the Series 66, Series 6TO, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carlos L Marbot | Carlos Luis Marbot | Carlos Marbot | Carlos L. Marbot

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.

Other Business Name: Marbot & Co., LLC Address:215 Bank Swallow Way, Simpsonville, South Carolina, 29680 Investment-Related?Yes Nature of the Other Business:Consulting Position at Other Business:Owner Title at Other Business:Owner Relationship with Other BusinessEducation Services Start Date of your Relationship:8/26/2024 Approximate Hours/Month devoted to other business:10 Number of Hours devoted to other business during securities trading hours:0 Description of duties related to other Business:Strategic consulting for small to medium-sized businesses for compensation.

Blog Corner

CRS (Client Relationship Summary)

MARBOT WEALTH PARTNERS

RIA

CRD#: 5393

Dawsonville, GA

Past

February 19, 2021 - April 23, 2021

E*TRADE SECURITIES LLC

CRD#: 29106

ALPHARETTA, GA

Past

February 2, 2021 - February 11, 2021

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

ATLANTA, GA

Past

September 1, 2020 - February 11, 2021

PRUCO SECURITIES, LLC.

CRD#: 5685

ATLANTA, GA

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".

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 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: 9/22/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7TO

Date: 9/1/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/29/2020

Securities Industry Essentials Examination

Current Firm

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 Terminated)

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Contact information

Main Address

901 East Byrd Street Suite 1001, Richmond, VA 23219

Mailing Address

Phone number

(804) 340-8100

Established

Firm type

Fiscal year end

# of Employees

166

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CSPIA FORM ADV PART 2A FIRM BROCHURE DATED 06/27/2025 (6/27/2025)

CSPIA FORM ADV PART 2A WRAP BROCHURE DATED 06/27/2025 (6/27/2025)

Regulatory assets under management

Total Number of Accounts	13,853
AUM (Assets Under Management)	$ 8,263,891,736

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/22/2024	Cover Page	Report
07/25/2023	Cover Page	Report
01/27/2023	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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Carlos L. Marbot

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CARY STREET PARTNERS

MARBOT WEALTH PARTNERS

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

E*TRADE SECURITIES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CARY STREET PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/22/2020

Series 6TO

Date: 1/2/2023

Series 7TO

Date: 9/1/2020

SIE

Date: 6/29/2020

Current Firm

CARY STREET PARTNERS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARY STREET PARTNERS

TRUST BUT VERIFY

Contact information

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