Soledad L. Seman

FINAMEX ASSET MANAGEMENT

THE WOODLANDS, TX

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CRD#: 2283925

Professional summary

Soledad Longoria Seman, who also goes by Soledad Juanita Longoria, Sole Seman, is a registered financial advisor currently at FINAMEX ASSET MANAGEMENT, LLC located in The Woodlands, Texas and RCX CAPITAL GROUP, LLC located in The Woodlands, Texas.

Soledad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Soledad has 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.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Soledad Longoria Seman'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

September 28, 2023 - Present

FINAMEX ASSET MANAGEMENT, LLC

RIA

CRD#: 304260

THE WOODLANDS, TX

Current

June 1, 2018 - Present

RCX CAPITAL GROUP, LLC

Office #1: 2002 Timberloch Place Suite 200, The Woodlands, TX 77380

CRD#: 114290

The Woodlands, TX

Current

April 20, 2020 - Present

FINAMEX INTERNATIONAL, LLC

Office #1: 2700 Post Oak Blvd. 22nd Floor, Suite 22-122, Houston, TX 77056

CRD#: 301726

Houston, TX

Past

November 13, 2023 - December 11, 2024

TRB CAPITAL MARKETS, LLC

CRD#: 322618

HARLINGEN, TX

Past

June 28, 2021 - September 14, 2021

HOUSING ACQUISITIONS, LP

RIA

CRD#: 314913

HOUSTON, TX

Past

June 1, 2018 - May 4, 2021

RCX CAPITAL GROUP ADVISORS, LLC

RIA

CRD#: 170463

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

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

Texas
(6/1/2018)

IAR

Texas
(9/28/2023)

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

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

SRO Registrations

FINRA

Current Firm

FINAMEX ASSET MANAGEMENT, LLC

CRD#: 304260 / SEC#: 801-116887

RIA

Registered Investment Advisory firm - (2/20/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/8/2020 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

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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	120
AUM (Assets Under Management)	$ 80,352,281

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

Soledad L. Seman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Soledad Longoria Seman's CRS (Customer Relationship Summary).

Certified licenses

Experience

RCX CAPITAL GROUP, LLC

FINAMEX INTERNATIONAL, LLC

TRB CAPITAL MARKETS, LLC

HOUSING ACQUISITIONS, LP

RCX CAPITAL GROUP ADVISORS, 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

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

FINRA

Current Firm

FINAMEX ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FINAMEX ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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