Ruben E. Guerra

GUERRA INVESTMENT ADVISORS

EL PASO, TX 79912

CRD#: 1633387

Some features on this profile are disabled

Professional summary

Ruben Edward Guerra is a registered financial advisor currently at GUERRA INVESTMENT ADVISORS located in El Paso, Texas.

Ruben is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Ruben has worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ruben Edward Guerra'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

April 12, 2006 - Present

GUERRA INVESTMENT ADVISORS

Office #1: 5845 Cromo Drive Ste. 1, El Paso, TX 79912

RIA

CRD#: 110564

EL PASO, TX

Past

January 28, 2009 - June 4, 2009

SILVER OAK SECURITIES, INCORPORATED

CRD#: 46947

JACKSON, TN

Past

October 20, 2005 - December 31, 2005

ONYX WEALTH ADVISORS, INC.

RIA

CRD#: 119558

EL PASO, TX

Past

October 18, 2005 - June 13, 2006

CAMBRIDGE LEGACY SECURITIES L.L.C.

CRD#: 103722

ELPASO, TX

Past

August 28, 1995 - October 20, 2005

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

July 22, 1994 - August 8, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 31, 1993 - July 22, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 11, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 25, 1987 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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

New Mexico
(4/3/2007)

IAR

Texas
(4/12/2006)

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: 10/1/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/4/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 6/27/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 10/24/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

GUERRA INVESTMENT ADVISORS

CRD#: 110564 / SEC#: 801-50336

RIA

Registered Investment Advisory firm - (5/15/2012 Terminated)

New Mexico

Registered Investment Advisory firm - (2/29/2012 Approved)

Texas

Registered Investment Advisory firm - (4/20/2012 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).

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5812 Cromo Suite 203, El Paso, TX 79912

Mailing Address

Phone number

(915) 760-5551

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	132
AUM (Assets Under Management)	$ 42,000,000

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.

Similar Advisors

Tyler Atkinson

LPL FINANCIAL LLC

IAR

BELLEVUE, WA

Ryan Ruppert

MORGAN STANLEY

IAR

Austin, TX

Neal Hansen

NET WORTH ADVISORY GROUP, LLC

IAR

SANDY, UT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ruben E. Guerra

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ruben Edward Guerra's CRS (Customer Relationship Summary).

Certified licenses

Experience

SILVER OAK SECURITIES, INCORPORATED

ONYX WEALTH ADVISORS, INC.

CAMBRIDGE LEGACY SECURITIES L.L.C.

SECURITIES SERVICE NETWORK, LLC

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/1/1992

Series 63

Date: 4/4/1987

Series 3

Date: 6/27/1987

Series 7

Date: 3/21/1987

Series 8

Date: 10/24/1994

Current Firm

GUERRA INVESTMENT ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GUERRA INVESTMENT ADVISORS

TRUST BUT VERIFY

Similar Advisors