Carlos G. Mejia

SEACREST WEALTH MANAGEMENT

Brooklyn, NY 11211

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CRD#: 5011069

Professional summary

Carlos Gabriel Mejia, who also goes by Carlos Mejia, is a registered financial advisor currently at SEACREST WEALTH MANAGEMENT, LLC located in Brooklyn, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Brooklyn, New York.

Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Carlos has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carlos Mejia

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.

1) CARLOS MEJIA IS DUALLY-REGISTERED AS AN INVESTMENT ADVISOR REPRESENTATIVE WITH SEACREST WEALTH MANAGEMENT, LLC - SINCE 04/2015) AND AS A REGISTERED REPRESENTATIVE WITH PURSHE KAPLAN STERLING INVESTMENTS, INC. (PKS" - SINCE 06/2015). BUSINESS IS CONDUCTED FROM 3010 WESTCHESTER AVENUE, SUITE 307, PURCHASE, NY 10577. APPROXIMATELY 90% OF MR. MEJIA'S TIME IS FOR SERVICES AS AN INVESTMENT ADVISOR REPRESENTATIVE. SWM AND PKS ARE NOT AFFILIATED. 2) CRUMP LIFE INSURANCE SERVICES. INVESTMENT RELATED. 195 Broadway, Suite 402. Brooklyn NY 11211. GENERAL INSURANCE AGENT. LIFE INSURANCE AGENT. 04/2015. 10 HOURS PER MONTH, 2 DURING TRADING. PROVIDE INSURANCE SOLUTIONS ONLY TO PROSPECTIVE AND CURRENT CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Gabriel Mejia's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 19, 2015 - Present

SEACREST WEALTH MANAGEMENT, LLC

Office #1: 195 Broadway Suite 402, Brooklyn, NY 11211

RIA

CRD#: 147092

Brooklyn, NY

Current

June 1, 2015 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 195 Broadway Suite 402, Brooklyn, NY 11211

CRD#: 35747

Brooklyn, NY

Past

May 7, 2010 - April 22, 2015

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

BROOKLYN, NY

Past

May 7, 2010 - April 22, 2015

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

BROOKLYN, NY

Past

May 1, 2008 - May 10, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

BROOKLYN, NY

Past

May 1, 2008 - May 10, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

BROOKLYN, NY

Past

May 29, 2007 - April 29, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 24, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

NEW YORK, 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".

SEACREST WEALTH MANAGEMENT, LLC

CRD#: 147092 / SEC#: 801-69141

RIA

Registered Investment Advisory firm - (5/12/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(11/6/2023)

California
(6/9/2022)

Illinois
(7/25/2023)

IAR

New Jersey
(5/19/2015)

New Jersey
(6/2/2015)

New York
(6/1/2015)

IAR

New York
(9/3/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/4/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/27/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/5/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/23/2005

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SEACREST WEALTH MANAGEMENT, LLC

CRD#: 147092 / SEC#: 801-69141

RIA

Registered Investment Advisory firm - (5/12/2008 Approved)

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Contact information

Main Address

3000 Westchester Avenue Suite 206, Purchase, NY 10577

Mailing Address

Phone number

(914) 502-1900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEACREST WEALTH MANAGEMENT, LLC DISCLOSURE BROCHURE (10/23/2025)

Regulatory assets under management

Total Number of Accounts	3,945
AUM (Assets Under Management)	$ 1,561,182,425

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

Carlos G. Mejia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Gabriel Mejia's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

SEACREST WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/4/2008

Series 63

Date: 9/27/2005

SIE

Date: 10/1/2018

Series 7

Date: 9/5/2007

Series 6

Date: 8/23/2005

FINRA

Current Firm

SEACREST WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEACREST WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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