Javier C. Vargas

IPG INVESTMENT ADVISORS

HOUSTON, TX

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CRD#: 2751610

Professional summary

Javier C Vargas, who also goes by Javier Claudio Vargas, is a registered financial advisor currently at IPG INVESTMENT ADVISORS, LLC located in Houston, Texas and INVESTMENT PLACEMENT GROUP located in San Diego, California.

Javier is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Javier has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Javier Claudio Vargas

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.

IPG INVESTMENT ADVISORS, LLC., INVESTMENT RELATED, LOCATED AT 501 W BROADWAY, SUITE 1350 SAN DIEGO, CA 92101 INVESTMENT ADVISOR REPRESENTATIVE (IAR) DEVOTES ROUGHLY 20 HOURS A WEEK, AS MUCH AS 4 HOURS A DAY DURING TRADING HOURS TO THIS BUSINESS. 1. Private Company; FUTURES OPTIONS EIGHTEEN LLC; As of 05/2015;During business hours 1;After business hours 2. 2. PPV ENERGY LLC, MONITOR INVESTMENT RESULTS; INVESTMENT ENERGY SECTOR; START DATE: 06/2016; DURING BUSINESS HOURS- 0, AFTER BUSINESS HOURS- .5; INVESTMENT RELATED; TEXAS *378470 - VP Ventures LLC; Investment related; The Woodlands, TX; Passive Investments; Director (proprietor, partner, officer, director, employee, trustee, agent); Aug 2019; During business hours: 0; After business hours: 1

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Javier C Vargas'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 11, 2023 - Present

IPG INVESTMENT ADVISORS, LLC

RIA

CRD#: 152990

HOUSTON, TX

Current

June 30, 2021 - Present

INVESTMENT PLACEMENT GROUP

Office #1: 501 West Broadway Suite 1350, San Diego, CA 92101

CRD#: 14458

SAN DIEGO, CA

Past

June 30, 2021 - December 31, 2022

IPG INVESTMENT ADVISORS, LLC

RIA

CRD#: 152990

HOUSTON, TX

Past

May 25, 2012 - June 23, 2021

MORGAN STANLEY

RIA

CRD#: 149777

Houston, TX

Past

May 25, 2012 - June 23, 2021

MORGAN STANLEY

CRD#: 149777

Houston, TX

Past

January 1, 2010 - June 4, 2012

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

January 1, 2010 - June 4, 2012

UBS FINANCIAL SERVICES INC.

CRD#: 8174

HOUSTON, TX

Past

January 10, 2005 - January 1, 2010

UBS INTERNATIONAL INC.

RIA

CRD#: 107726

HOUSTON, TX

Past

August 6, 2004 - January 1, 2010

UBS INTERNATIONAL INC.

CRD#: 107726

HOUSTON, TX

Past

April 15, 2003 - July 20, 2004

BBVA INVESTMENTS INC.

CRD#: 31769

HOUSTON, TX

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".

IPG INVESTMENT ADVISORS, LLC

CRD#: 152990 / SEC#: 801-71104

RIA

Registered Investment Advisory firm - (3/3/2010 Approved)

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

California
(6/30/2021)

IAR

California
(1/11/2023)

Colorado
(6/30/2021)

Florida
(6/30/2021)

Texas
(6/30/2021)

IAR

Texas
(1/12/2023)

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: 1/5/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/5/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/19/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/14/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/6/2003

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

IPG INVESTMENT ADVISORS, LLC

CRD#: 152990 / SEC#: 801-71104

RIA

Registered Investment Advisory firm - (3/3/2010 Approved)

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Contact information

Main Address

501 West Broadway Suite 1350, San Diego, CA 92101

Mailing Address

Phone number

(619) 326-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IPG INVESTMENT ADVISORS LLC FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,154
AUM (Assets Under Management)	$ 3,818,509,733

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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Javier C. Vargas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Javier C Vargas's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTMENT PLACEMENT GROUP

IPG INVESTMENT ADVISORS, LLC

MORGAN STANLEY

MORGAN STANLEY

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

UBS INTERNATIONAL INC.

UBS INTERNATIONAL INC.

BBVA INVESTMENTS INC.

Primary Firm SEC Registration

IPG INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/5/2005

Series 63

Date: 6/5/2003

SIE

Date: 10/1/2018

Series 3

Date: 11/19/2010

Series 7

Date: 4/14/2003

Series 24

Date: 11/6/2003

FINRA

Nasdaq Stock Market

Current Firm

IPG INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IPG INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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