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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.)
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