George N. Gopiao

MIRAMONTES CAPITAL

Newport Beach, CA 92660

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CRD#: 2113470

Professional summary

George Nicolas Gopiao, who also goes by George Nicolas Siongco Gopiao, George Siongco Gopiao, George Gopiao, is a registered financial advisor currently at MIRAMONTES CAPITAL, LLC located in Newport Beach, California and BALANCED SECURITY PLANNING, INC. located in Newport Beach, California.

George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. George has worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

George Nicolas Siongco Gopiao | George Siongco Gopiao | George Gopiao

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.

1) INDEPENDENT INSURANCE AGENT, INVESTMENT-RELATED, 25652 SKYBIRD LANE, LAKE FOREST CA 92630, SELLING INSURANCE PRODUCTS, 100% OWNER, INDEPENDENT INSURANCE AGENT, 07/2018, 0 HRS/MO, 0 HRS/MO DURING TRADING HRS, SELLING INSURANCE PRODUCTS. 2) MIRAMONTES CAPITAL, INVESTMENT-RELATED, 4701 TELLER AVENUE, NEWPORT BEACH CA 92660, REGISTERED INVESTMENT ADVISER, FINANCIAL ADVISOR (AS OF 01/2024), DECEMBER 2023, 25 HRS/MO, 20 HRS/MO DURING TRADING HRS, SOLICIT AND SERVICE CLIENTS WITH THEIR ACCOUNTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Nicolas Gopiao's CRS (Customer Relationship Summary).

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 3, 2024 - Present

MIRAMONTES CAPITAL, LLC

Office #1: 4701 Teller Ave, Newport Beach, CA 92660

RIA

CRD#: 264786

Newport Beach, CA

Current

February 27, 2023 - Present

BALANCED SECURITY PLANNING, INC.

Office #1: 4701 Teller Avenue, Newport Beach, CA 92660Office #2: 4701 Teller Avenue, Newport Beach, CA 92660

CRD#: 4038

Newport Beach, CA

Past

October 15, 2019 - February 17, 2023

B.B. GRAHAM & COMPANY, INC.

RIA

CRD#: 41533

ORANGE, CA

Past

October 14, 2019 - February 17, 2023

B.B. GRAHAM & COMPANY, INC.

CRD#: 41533

ORANGE, CA

Past

July 9, 2018 - October 8, 2019

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

July 5, 2018 - October 8, 2019

QUEST CAPITAL STRATEGIES, INC.

RIA

CRD#: 16783

YORBA LINDA, CA

Past

October 13, 2009 - November 9, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

WHITTIER, CA

Past

November 25, 2008 - November 9, 2016

LPL FINANCIAL LLC

CRD#: 6413

WHITTIER, CA

Past

February 23, 2006 - December 4, 2008

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

WHITTIER, CA

Past

January 1, 1999 - December 4, 2008

WAMU INVESTMENTS, INC.

CRD#: 599

WHITTIER, CA

Past

July 1, 1993 - January 1, 1999

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

Past

May 13, 1993 - July 2, 1993

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 18, 1991 - April 23, 1993

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

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".

MIRAMONTES CAPITAL, LLC

BOYER & ASSOCIATES - STRATEGIC SOLUTIONS FOR WEALTH MANAGEMENT | VANCLEF FINANCIAL GROUP | PRIMARY ADVISORS | MIRAMONTES CAPITAL, LLC | MIRAMONTES CAPITAL , LLC

CRD#: 264786 / SEC#: 801-110012

RIA

Registered Investment Advisory firm - (3/2/2017 Approved)

California

Registered Investment Advisory firm - (4/6/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/7/2017 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/3/2024)

Arkansas
(2/27/2024)

California
(2/28/2023)

IAR

California
(1/3/2024)

Colorado
(1/3/2024)

Florida
(1/3/2024)

Georgia
(1/4/2024)

Illinois
(1/4/2024)

Indiana
(8/17/2023)

Iowa
(1/5/2024)

Kentucky
(1/5/2024)

Michigan
(1/4/2024)

Minnesota
(1/23/2024)

Nebraska
(1/3/2024)

Nevada
(1/4/2024)

New Mexico
(1/4/2024)

North Carolina
(1/4/2024)

South Dakota
(1/3/2024)

Tennessee
(1/3/2024)

Texas
(1/3/2024)

Utah
(1/3/2024)

Washington
(1/3/2024)

Wisconsin
(1/4/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/28/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/17/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/19/2020

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/5/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MIRAMONTES CAPITAL, LLC

BOYER & ASSOCIATES - STRATEGIC SOLUTIONS FOR WEALTH MANAGEMENT | VANCLEF FINANCIAL GROUP | PRIMARY ADVISORS | MIRAMONTES CAPITAL, LLC | MIRAMONTES CAPITAL , LLC

CRD#: 264786 / SEC#: 801-110012

RIA

Registered Investment Advisory firm - (3/2/2017 Approved)

California

Registered Investment Advisory firm - (4/6/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/7/2017 Terminated)

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Contact information

Main Address

4701 Teller Ave, Newport Beach, CA 92660

Mailing Address

Phone number

+1 (800) 460-1595

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (2/26/2025)

WRAP FEE BROCHURE (2/26/2025)

Regulatory assets under management

Total Number of Accounts	1,245
AUM (Assets Under Management)	$ 296,285,231

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

George N. Gopiao

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Nicolas Gopiao's CRS (Customer Relationship Summary).

Certified licenses

Experience

BALANCED SECURITY PLANNING, INC.

B.B. GRAHAM & COMPANY, INC.

B.B. GRAHAM & COMPANY, INC.

QUEST CAPITAL STRATEGIES, INC.

QUEST CAPITAL STRATEGIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

GRIFFIN FINANCIAL SERVICES

CITIGROUP GLOBAL MARKETS INC.

GRIFFIN FINANCIAL SERVICES

Primary Firm SEC Registration

MIRAMONTES CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/28/1991

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/17/1991

Series 53

Date: 10/19/2020

Series 24

Date: 2/5/2009

FINRA

Current Firm

MIRAMONTES CAPITAL, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MIRAMONTES CAPITAL, LLC

TRUST BUT VERIFY

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