Soledad L. Seman

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CRD#: 2283925

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.

Soledad Longoria Seman, who also goes by Soledad Juanita Longoria, Sole Seman, was a registered financial professional .

Soledad is a previously registered financial professional and started their career in finance in 1992. Soledad had worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 14, Series 9, Series 10 and Series 24 exams.

Aliases

Soledad Juanita Longoria | Sole Seman

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 - NORFALIA CARABALI FOUNDATION USA; INVESTMENT RELATED - NO; ADDRESS - 17402 TEMPE CT., HOUSTON, TEXAS 77095; NATURE - NON-PROFIT FOUNDATION FOR EDUCATIONAL, SPORTS AND CHARITABLE PURPOSES; TITLE - DIRECTOR; START DATE - 2015; APPROXIMATE NUMBER OF HOURS PER MONTH - .5 WITH ZERO DURING TRADING HOURS; DUTIES - PLAN & REVIEW UPCOMING PROJECTS AND ACTIVITIES.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 9, 2026 - July 8, 2026

FINAMEX ASSET MANAGEMENT, LLC

RIA

CRD#: 304260

The Woodlands, TX

Past

November 13, 2023 - December 11, 2024

TRB CAPITAL MARKETS, LLC

CRD#: 322618

HARLINGEN, TX

Past

September 28, 2023 - January 5, 2026

FINAMEX ASSET MANAGEMENT, LLC

RIA

CRD#: 304260

THE WOODLANDS, TX

Past

June 28, 2021 - September 14, 2021

HOUSING ACQUISITIONS, LP

RIA

CRD#: 314913

HOUSTON, TX

Past

April 20, 2020 - July 8, 2026

FINAMEX INTERNATIONAL, LLC

CRD#: 301726

HOUSTON, TX

Past

June 1, 2018 - May 4, 2021

RCX CAPITAL GROUP ADVISORS, LLC

RIA

CRD#: 170463

THE WOODLANDS, TX

Past

June 1, 2018 - July 31, 2026

RCX CAPITAL GROUP, LLC

CRD#: 114290

THE WOODLANDS, TX

Past

September 10, 2015 - July 13, 2016

GFS ADVISORS LLC

RIA

CRD#: 143110

HOUSTON, TX

Past

September 10, 2015 - July 13, 2016

GLOBAL FINANCIAL SERVICES, L.L.C.

CRD#: 35699

HOUSTON, TX

Past

March 3, 2003 - December 12, 2014

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

HOUSTON, TX

Past

March 3, 2003 - December 12, 2014

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

HOUSTON, TX

Past

September 2, 1997 - May 4, 2001

GAMMA CAPITAL SECURITIES, INC

CRD#: 41748

THE WOODLANDS, TX

Past

December 23, 1996 - June 25, 1997

BBVA INVESTMENTS INC.

CRD#: 31769

HOUSTON, TX

Past

August 22, 1994 - April 23, 1996

GLOBAL FINANCIAL SERVICES, L.L.C.

CRD#: 35699

HOUSTON, TX

Past

October 7, 1992 - July 14, 1994

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

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".

FINAMEX ASSET MANAGEMENT, LLC

CRD#: 304260 / SEC#: 801-135018

RIA

Registered Investment Advisory firm - (12/19/2025 Approved)

Texas

Registered Investment Advisory firm - (1/5/2026 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: 12/27/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/9/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/5/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 9

Date: 10/27/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 8/6/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 3/2/1998

General Securities Principal Examination

Current Firm

FINAMEX ASSET MANAGEMENT, LLC

CRD#: 304260 / SEC#: 801-135018

RIA

Registered Investment Advisory firm - (12/19/2025 Approved)

Texas

Registered Investment Advisory firm - (1/5/2026 Terminated)

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Contact information

Main Address

2700 Post Oak Blvd. 22nd Floor; Suite 22-122, Houston, TX 77056

Mailing Address

Phone number

(713) 589-7121

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FINAMEX ASSET MANAGEMENT - FORM ADV PART 2A - MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	170
AUM (Assets Under Management)	$ 103,962,742

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

Soledad L. Seman

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRB CAPITAL MARKETS, LLC

FINAMEX ASSET MANAGEMENT, LLC

HOUSING ACQUISITIONS, LP

FINAMEX INTERNATIONAL, LLC

RCX CAPITAL GROUP ADVISORS, LLC

RCX CAPITAL GROUP, LLC

GFS ADVISORS LLC

GLOBAL FINANCIAL SERVICES, L.L.C.

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

GAMMA CAPITAL SECURITIES, INC

BBVA INVESTMENTS INC.

GLOBAL FINANCIAL SERVICES, L.L.C.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

FINAMEX ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/27/1999

Series 63

Date: 11/9/1992

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/5/1992

Series 14

Date: 1/2/2023

Series 9

Date: 10/27/2003

Series 10

Date: 8/6/2003

Series 24

Date: 3/2/1998

Current Firm

FINAMEX ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINAMEX ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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