Carlos Romero Mendoza
Investment Adviser Representative at Solano Wealth Advisors
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Carlos Romero Mendoza is an investment adviser representative with Solano Wealth Advisors in Fairfield, CA, where they have been registered since 2024. They have worked in the securities industry since 2001 and have been registered with 4 firms, including Solano Wealth Management, Inc. and Wells Fargo Clearing Services, LLC. They have passed 6 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in California and Texas.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California, Texas
- Broker:
23 states and territories
Arizona, California, Colorado, Florida, Idaho, Illinois, Indiana, Louisiana, Maine, Maryland, Missouri, Montana, Nevada, New Mexico, North Carolina, Oregon, South Carolina, Texas, Utah, Washington, West Virginia, Wisconsin, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Wells Fargo Advisors LLCJan 2011 – Mar 2017Fairfield, CA
- LPL Financial, LLCMar 2017 – no end date reportedFairfield, CA
- Solano Wealth Management, Inc.Mar 2017 – Jul 2024Fairfield, CA
- Solano Wealth Investment Advisors, LLCJul 2024 – no end date reportedFairfield, CA
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Solano Wealth Advisors
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Comprehensive wealth management, investment advisory services, risk management strategies (including life insurance and long-term care), retirement and estate planning, tax-efficient strategies, retirement planning, qualified tuition plans, annuities, mutual funds, certificates of deposit, employee pension plans, other retirement savings plans, life insurance, long-term care, disability and critical illness, health insurance, and group health benefits.
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 2
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Fairfield, CA
- SEC file number:
- 801-130590
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of February 9, 2026
View full firm profileOther advisors at Solano Wealth Advisors
1 other advisor in the directory
View Solano Wealth Advisors firm profileSimilar advisors in Fairfield, CA
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Carlos Romero Mendoza has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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