Francisco X. Maza

ALTERNA WEALTH MANAGEMENT

Houston, TX 77056

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CRD#: 2786574

Professional summary

Francisco Xavier Maza is a registered financial advisor currently at ALTERNA WEALTH MANAGEMENT, INC. located in Houston, Texas and ALTERNA SECURITIES, INC. located in Houston, Texas.

Francisco is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Francisco has worked at 6 firms and has passed the Series 66, Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series 3, Series 55, Series 7, Series 4 and Series 24 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.

Name of Business - TAMASTA MANAGEMENT, LLC; Investment Related - No; Address - 3003 Dahlgren Trail, Sugar Land, Texas 77479; Nature - Personal Holding Company for Transactions not limited to purchase and sale of real estate and construction; Start Date - 2004; Position - Sole Member; Approximate number of hours per month - 5. Mr. Maza is the owner of MAZA SECURITIES LLC. Maza Securities, LLC IS NOT A REGISTERED FIRM, BUT one Mr. Maza used to act as an INDEPENDENT PRODUCER and TO PAY EXPENSES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francisco Xavier Maza'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

April 10, 2008 - Present

ALTERNA WEALTH MANAGEMENT, INC.

Office #1: 2800 Post Oak Blvd Suite 6300, Houston, TX 77056

RIA

CRD#: 146153

Houston, TX

Current

October 12, 2004 - Present

ALTERNA SECURITIES, INC.

Office #1: 2800 Post Oak Blvd Suite 6300, Houston, TX 77056

CRD#: 41139

Houston, TX

Past

November 26, 2013 - May 2, 2014

OPTIMA CAPITAL MANAGEMENT, INC.

RIA

CRD#: 111409

HOUSTON, TX

Past

November 15, 2004 - July 6, 2006

GUNNALLEN FINANCIAL, INC

CRD#: 17609

HOUSTON, TX

Past

November 12, 2004 - July 6, 2006

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

HOUSTON, TX

Past

December 18, 2003 - November 11, 2004

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

SUGARLAND, TX

Past

December 18, 2003 - November 11, 2004

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

June 7, 2002 - January 29, 2004

ILLAC ADVISORS, INC.

RIA

CRD#: 121183

HOUSTON, TX

Past

March 4, 1997 - December 19, 2003

GBM INTERNATIONAL, INC.

CRD#: 28684

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".

ALTERNA WEALTH MANAGEMENT, INC.

ACTINVER WEALTH MANAGEMENT, INC. | OPTIMA CAPITAL MANAGEMENT, INC. | ALTERNA WEALTH MANAGEMENT, INC.

CRD#: 146153 / SEC#: 801-71135

RIA

Registered Investment Advisory firm - (2/23/2010 Approved)

Texas

Registered Investment Advisory firm - (4/9/2010 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

California
(7/6/2005)

Delaware
(1/21/2016)

Florida
(10/12/2004)

IAR

Florida
(7/25/2024)

New York
(10/12/2004)

Texas
(12/6/2004)

IAR

Texas
(4/10/2008)

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 66

Date: 5/11/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/13/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/26/2000

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 11/22/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/3/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 8/17/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/13/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALTERNA WEALTH MANAGEMENT, INC.

ACTINVER WEALTH MANAGEMENT, INC. | OPTIMA CAPITAL MANAGEMENT, INC. | ALTERNA WEALTH MANAGEMENT, INC.

CRD#: 146153 / SEC#: 801-71135

RIA

Registered Investment Advisory firm - (2/23/2010 Approved)

Texas

Registered Investment Advisory firm - (4/9/2010 Terminated)

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Contact information

Main Address

2800 Post Oak Blvd Suite 6300, Houston, TX 77056

Mailing Address

Phone number

(713) 885-9843

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AWM FORM ADV PART 2A BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,285
AUM (Assets Under Management)	$ 1,231,485,679

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

Francisco X. Maza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francisco Xavier Maza's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALTERNA SECURITIES, INC.

OPTIMA CAPITAL MANAGEMENT, INC.

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

ILLAC ADVISORS, INC.

GBM INTERNATIONAL, INC.

Primary Firm SEC Registration

ALTERNA WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/11/2002

Series 63

Date: 3/13/1997

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 9/26/2000

Series 55

Date: 11/22/1999

Series 7

Date: 3/3/1997

Series 4

Date: 8/17/2000

Series 24

Date: 3/13/2000

FINRA

Current Firm

ALTERNA WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALTERNA WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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