Close Menu
Free Consultation: 888-976-6111

Carlos Vega: Mutual of Omaha Advisor “Permitted to Resign”

San Juan, Puerto Rico financial advisor Carlos Vega (CRD# 7022705) recently resigned from Mutual of Omaha Investor Services in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with Consultiva Wealth Management Corporation.

Mr. Vega’s BrokerCheck report discloses his resignation from Mutual of Omaha Investor Services. Filed in September 2023, the disclosure states that he was permitted to resign in connection with allegations that he “failed to follow firm procedures regarding investment recommendations made to customers.” The disclosure does not provide any information regarding the specific investments he recommended or the firm procedures he allegedly failed to follow.

According to the Financial Industry Regulatory Authority and Securities and Exchange Commission, Carlos Vega holds four years of securities industry experience. Based in San Juan, Puerto Rico, he has been an investment advisor with Consultiva Wealth Management Corporation since December 2023. He is also registered as an insurance agent with Consultiva Insurance, selling life insurance, health insurance, and annuities. His past registrations include Mutual of Omaha Investor Services (Guaynabo, Puerto Rico; 2021-2023) and Equitable Advisors (San Juan, Puerto Rico; 2018-2021). From 2018 until 2020, he was the President of Eagleye Inc. in Caguas, Puerto Rico. His credentials include the passage of three securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Securities Industry Essentials Examination, or SIE; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Puerto Rico. (Information current as of January 2, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Kiran Devarapalli: Leaders Group Advisor Fired by LPL

    Littleton, Colorado financial advisor Kiran Devarapalli (CRD# 6416586) was recently fired by LPL Financial in connection with alleged rule violations....

    Read More
  • Max & Randy Birkinbine: Ausdal Advisors Face GWG Complaint

    North Oaks, Minnesota financial advisors Max Birkinbine (CRD# 6836583) and Randy Birkinbine (CRD# 2008599) have received an investor complaint alleging...

    Read More
  • Bruce Johnson: L Bond Complaint Against Portsmouth Financial Advisor

    San Francisco financial advisor Bruce Johnson (CRD# 1126862) allegedly misrepresented investments in GWG L bonds, according to an investor complaint....

    Read More
  • Cataldo Panici: $355K REIT Complaint Against Wintrust advisor

    Frankfort, Illinois financial advisor Cataldo Panici (CRD# 2112617) recently received an investor complaint alleging damages of more than $300,000. Financial...

    Read More
  • Previous
  • Next