Andres M. Cruz

INVEX.

Coral Gables, FL 33134

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CRD#: 2804710

Professional summary

Andres Mauricio Cruz is a registered financial professional currently at INVEX, LLC. located in Coral Gables, Florida.

Andres is registered as a RR (Registered Representative) and started their career in finance in 1997. Andres has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andres Mauricio Cruz'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

July 3, 2014 - Present

INVEX, LLC.

Office #1: 2 Alhambra Plaza Suite Ph Ii, Coral Gables, FL 33134

CRD#: 30032

Coral Gables, FL

Past

November 10, 2011 - May 19, 2014

HAPOALIM SECURITIES USA, INC.

CRD#: 266

MIAMI, FL

Past

April 28, 2010 - October 13, 2011

MF GLOBAL INC.

CRD#: 6731

CORAL GABLES, FL

Past

November 26, 2007 - May 6, 2010

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

MIAMI, FL

Past

November 23, 2007 - May 6, 2010

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

MIAMI, FL

Past

April 5, 2006 - October 5, 2007

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

MIAMI, FL

Past

June 24, 2004 - October 5, 2007

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

MIAMI, FL

Past

June 17, 2004 - October 5, 2007

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MIAMI, FL

Past

July 1, 2003 - June 17, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MIAMI, FL

Past

July 1, 2003 - June 17, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

August 26, 1997 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

MIAMI, FL

Past

August 20, 1997 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Florida
(7/3/2014)

New York
(7/3/2014)

Texas
(7/3/2014)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/9/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/15/1997

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: 3/11/2000

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/24/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INVEX, LLC.

INVEX, INC. | INVEX, LLC.

CRD#: 30032 / SEC#: , 8-44695

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

2 Alhambra Plaza Suite Ph Ii, Coral Gables, FL 33134

Mailing Address

2 Alhambra Plaza Suite Ph Ii, Coral Gables, FL 33134

Phone number

(786) 425-1717

Established

Delaware since 05/24/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (8 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
INVEX HOLDINGS, INC.	OWNER
BARRIENTOS SERRANO, CARLOS	CHIEF COMPLIANCE OFFICER	4520476
REYES RETANA HIGUERA, GERARDO	COMPLIANCE OFFICER	2433345
REYESRETANA, GERARDO	PRESIDENT/SECRETARY	2433345

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Andres M. Cruz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andres Mauricio Cruz's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAPOALIM SECURITIES USA, INC.

MF GLOBAL INC.

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

RBC CAPITAL MARKETS CORPORATION

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/1998

Series 63

Date: 9/15/1997

SIE

Date: 10/1/2018

Series 3

Date: 3/11/2000

Series 7

Date: 7/24/1997

FINRA

Current Firm

INVEX, LLC.

Contact information

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INVEX, LLC.

TRUST BUT VERIFY

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