Daniel Louis Carmo

Investment Adviser Representative at TEMPUS WEALTH PLANNING, LLC

IRVINE, CACRD #2899002Dual-registered

Disclosure(s) on record — see official records below

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

29 yrs

States Registered

1 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 1 states

California

Examinations passed

Series 66

Uniform Combined State Law Examination

Passed 12/23/1997

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 31

Futures Managed Funds Examination

Passed 12/10/2004

Series 7

General Securities Representative Examination

Passed 6/23/1997

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Blended rate

0.02

Source

TEMPUS WEALTH Planning, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

8/17/2016 – 6/7/2021NEWPORT BEACH, CA

WELLS FARGO ADVISORS, LLC

7/15/2005 – 7/13/2009NEWPORT BEACH, CA

AMERIPRISE ADVISOR SERVICES, INC.

7/10/2009 – 10/5/2009IRVINE, CA

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

6/25/1997 – 5/10/2000NEW YORK, NY

UBS FINANCIAL SERVICES INC.

5/5/2000 – 7/29/2005WEEHAWKEN, NJ

AMERIPRISE FINANCIAL SERVICES, INC.

10/5/2009 – 8/26/2016IRVINE, CA

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Daniel Louis Carmo 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.