Theodore K. Geoca

MAXOUT SAVINGS ADVISORS LLC

Houston, TX 77056

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CRD#: 1247617

Professional summary

Theodore Karl Geoca, who also goes by Ted Geoca, is a registered financial advisor currently at MAXOUT SAVINGS ADVISORS LLC located in Houston, Texas.

Theodore is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Theodore has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ted Geoca

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.

SOUTH COAST HYDRAULICS - NOT INVESTMENT-RELATED - SHARE HOLDER - NO HOURS ARE DEDICATED TO THIS BUSINESS & NO COMPENSATION ; GEOCA SOUTHWEST - SHARE HOLDER - 3HRS MONTHLY DEDICATED TO THIS BUSINESS ; RANGONI GLOBAL - NOT INVESTMENT-RELATED - CFO - APPROX 10% OF TIME DEDICATED TO THIS BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Karl Geoca's 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

January 6, 2015 - Present

MAXOUT SAVINGS ADVISORS LLC

Office #1: 4900 Woodway Dr. Suite 1031, Houston, TX 77056

RIA

CRD#: 137307

Houston, TX

Past

January 19, 2012 - December 31, 2014

MAXOUT SAVINGS ADVISORS LLC

RIA

CRD#: 137307

HOUSTON, TX

Past

November 25, 2005 - December 31, 2011

MAXOUT SAVINGS ADVISORS LLC

RIA

CRD#: 137307

HOUSTON, TX

Past

October 30, 2003 - January 11, 2006

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

HOUSTON, TX

Past

December 7, 1999 - January 11, 2006

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

HOUSTON, TX

Past

October 28, 1991 - November 17, 1999

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

September 4, 1990 - November 6, 1991

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 19, 1990 - September 4, 1990

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

CRD#: 22540

Past

February 14, 1985 - June 29, 1990

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

March 28, 1984 - February 12, 1985

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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.

Highlighted states indicate IAR registrations

IAR

Louisiana
(2/13/2015)

IAR

Texas
(1/6/2015)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/27/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/5/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

Current Firm

MAXOUT SAVINGS ADVISORS LLC

CRD#: 137307 / SEC#: 801-64827

RIA

Registered Investment Advisory firm - (6/7/2012 Terminated)

Louisiana

Registered Investment Advisory firm - (2/13/2015 Approved)

Texas

Registered Investment Advisory firm - (1/6/2015 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

4900 Woodway Dr. Suite 1031, Houston, TX 77056

Mailing Address

Phone number

(713) 627-0400

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	197
AUM (Assets Under Management)	$ 75,248,355

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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Firm Stability Insights

Theodore K. Geoca

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Karl Geoca's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAXOUT SAVINGS ADVISORS LLC

MAXOUT SAVINGS ADVISORS LLC

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

A. G. EDWARDS & SONS, INC.

WELLS FARGO CLEARING SERVICES, LLC

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

CIBC WORLD MARKETS CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 11/27/2001

Series 63

Date: 4/5/1984

Series 7

Date: 3/17/1984

Current Firm

MAXOUT SAVINGS ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MAXOUT SAVINGS ADVISORS LLC

TRUST BUT VERIFY

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