Carlos Donat Arjona

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CRD#: 7446955

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 Donat Arjona was a registered financial professional .

Carlos is a previously registered financial professional and started their career in finance in 2023. Carlos had worked at 1 firm and has passed the Series 65 exam.

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.

I own CADOAR Enterprises, LLC which was established to acquire a 13.33% ownership of ROI Tax. The acquisition became effective on 1/1/2023. ROI Tax is an affiliate of ROI Financial but is a separate entity. ROI Tax provides tax preparation and CPA services, it is not investment-related. The address is 17355 Boones Ferry Road, Suite E, Lake Oswego, OR 97035. Other than a part-owner, I am also a data inputter for the company. I work there primarily during tax season, from February to mid- April. During this time period, I expect to approximately spend 15 hours a week on my ROI Tax duties during trading hours. ROI Financial duties have priority over any duties associated with ROI Tax.

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®

None

Experience

Past

February 15, 2023 - October 24, 2025

ROI FINANCIAL

RIA

CRD#: 160100

BEAVERTON, OR

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".

ROI FINANCIAL

CRD#: 160100 / SEC#: 801-121903

RIA

Registered Investment Advisory firm - (7/29/2021 Approved)

Oregon

Registered Investment Advisory firm - (10/4/2021 Terminated)

Washington

Registered Investment Advisory firm - (12/10/2021 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 65

Date: 2/6/2023

Uniform Investment Adviser Law Examination

Current Firm

ROI FINANCIAL

CRD#: 160100 / SEC#: 801-121903

RIA

Registered Investment Advisory firm - (7/29/2021 Approved)

Oregon

Registered Investment Advisory firm - (10/4/2021 Terminated)

Washington

Registered Investment Advisory firm - (12/10/2021 Terminated)

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Contact information

Main Address

14675 Sw Millikan Way, Beaverton, OR 97003

Mailing Address

Phone number

(503) 941-5925

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROI ADV 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	1,395
AUM (Assets Under Management)	$ 220,506,423

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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Carlos Donat Arjona

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ROI FINANCIAL

Primary Firm SEC Registration

ROI FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 2/6/2023

Current Firm

ROI FINANCIAL

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROI FINANCIAL

TRUST BUT VERIFY

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