Mauricio Rubio

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CRD#: 1551350

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mauricio Rubio was a registered financial professional .

Mauricio is a previously registered financial professional and started their career in finance in 1999. Mauricio had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

NAME OF BUSINESS - ULTRA WEALTH ADVISORS LLC; INVESTMENT RELATED -NO; ADDRESS - 100 SE 3RD AVENUE, 10TH FLOOR, FORT LAUDERDALE FLORIDA 33394; NATURE - NO PRODUCTS OR SERVICES ARE OFFERED. THIS COMPANY WAS CREATED ONLY FOR PERSONAL TAX PURPOSES. POSITION - OWNER; START DATE - 07/02/2016; APPROXIMATE NUMBER OF HOURS PER MONTH -0; DUTIES - NONE.

Blog Corner

CRS (Client Relationship Summary)

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WESTON, FL

Past

May 31, 2012 - July 5, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WESTON, FL

Past

June 1, 2009 - June 21, 2012

MORGAN STANLEY

RIA

CRD#: 149777

PLANTATION, FL

Past

June 1, 2009 - June 21, 2012

RIA

CRD#: 7471

MIAMI, FL

Past

April 7, 1999 - May 22, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

ALTERNA WEALTH MANAGEMENT, INC.

ACTINVER WEALTH MANAGEMENT, INC. | OPTIMA CAPITAL MANAGEMENT, INC. | ALTERNA WEALTH MANAGEMENT, INC.

CRD#: 146153 / SEC#: 801-71135

RIA

Registered Investment Advisory firm - (2/23/2010 Approved)

Texas

Registered Investment Advisory firm - (4/9/2010 Terminated)

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).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 7/20/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/13/1999

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: 4/6/1999

General Securities Representative Examination

Current Firm

ALTERNA WEALTH MANAGEMENT, INC.

ACTINVER WEALTH MANAGEMENT, INC. | OPTIMA CAPITAL MANAGEMENT, INC. | ALTERNA WEALTH MANAGEMENT, INC.

CRD#: 146153 / SEC#: 801-71135

RIA

Registered Investment Advisory firm - (2/23/2010 Approved)

Texas

Registered Investment Advisory firm - (4/9/2010 Terminated)

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Contact information

Main Address

2800 Post Oak Blvd Suite 6300, Houston, TX 77056

Mailing Address

Phone number

(713) 885-9843

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AWM FORM ADV PART 2A BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,285
AUM (Assets Under Management)	$ 1,231,485,679

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

Mauricio Rubio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BONDWIRE

ALTERNA WEALTH MANAGEMENT, INC.

ALTERNA SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

HAPOALIM SECURITIES USA, INC.

STANFORD GROUP COMPANY

STANFORD GROUP COMPANY

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

ALTERNA WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/20/1999

Series 63

Date: 4/13/1999

SIE

Date: 10/1/2018

Series 7

Date: 4/6/1999

Current Firm

ALTERNA WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALTERNA WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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