Daniel Louis Carmo

Employer firm

Tempus Wealth Planning, LLC CRD 285349

$699M regulatory AUM 5 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

Current Employers

Tempus Wealth Planning, Llc

100 Spectrum Center Drive Suite 1070, Irvine, CA 92618 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2021-05-28

CA RA
APPROVED

Since 2021-05-28

Branch Locations

100 Spectrum Center Drive Suite 1070, Irvine, CA 92618 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Stifel Nicolaus & Co Inc	Newport Beach	CA	08/2016	05/2021
Tempus Wealth Planning, Llc	Irvine	CA	05/2021	Present

08/2016 → 05/2021

Stifel Nicolaus & Co Inc

Newport Beach, CA
05/2021 → Present

Tempus Wealth Planning, Llc

Irvine, CA

Previous Registrations

2016-08-17 → 2021-06-07

Stifel, Nicolaus & Company, Incorporated

Newport Beach, CA
2009-10-05 → 2016-08-26

Ameriprise Financial Services, Llc

Los Angeles, CA

Irvine, CA

Glendale, CA

Newport Beach, CA
2009-07-14 → 2009-10-05

Ameriprise Advisor Services, Inc.

Irvine, CA
2005-07-15 → 2009-07-13

Wells Fargo Clearing Services, Llc

Anaheim, CA

Newport Beach, CA
2000-06-28 → 2005-07-29

Ubs Financial Services Inc.

Newport Beach, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1997-12-23

S66 Uniform Combined State Law Examination

1997-12-23

Other Names

Daniel L Carmo

View on SEC IAPD