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Victor L. Farias

Some features on this profile are disabled
CRD#: 2992722
VF

Professional summary

Victor Lee Farias was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Victor is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Victor had worked at 9 firms, which includes CAPITAL GUARDIAN WEALTH MANAGEMENT LLC, CAPITAL GUARDIAN LLC, FURTHER LANE SECURITIES L.P., LAIDLAW WEALTH MANAGEMENT LLC, LAIDLAW & COMPANY (UK) LTD., SWBC INVESTMENT COMPANY, SWBC INVESTMENT SERVICES LLC, ADVISORS ASSET MANAGEMENT INC., USAA INVESTMENT SERVICES COMPANY.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

May 17, 2012 - October 16, 2013

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

RIA
CRD#: 131631
BOERNE, TX
Past

May 14, 2012 - October 16, 2013

CAPITAL GUARDIAN, LLC

BD
CRD#: 137919
SAN ANTONIO, TX
Past

October 19, 2011 - May 10, 2012

FURTHER LANE SECURITIES, L.P.

BD
CRD#: 38162
BOERNE, TX
Past

January 20, 2011 - October 19, 2011

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

RIA
CRD#: 131631
MIAMI, FL
Past

January 20, 2011 - October 19, 2011

CAPITAL GUARDIAN, LLC

BD
CRD#: 137919
BOERNE, TX
Past

January 21, 2010 - February 14, 2011

LAIDLAW WEALTH MANAGEMENT LLC

RIA
CRD#: 150040
NEW YORK, NY
Past

July 9, 2009 - January 25, 2011

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
BOERNE, TX
Past

November 18, 2008 - June 18, 2009

SWBC INVESTMENT COMPANY

RIA
CRD#: 140994
SAN ANTONIO, TX
Past

November 18, 2008 - June 18, 2009

SWBC INVESTMENT SERVICES, LLC

BD
CRD#: 133715
SAN ANTONIO, TX
Past

June 2, 2005 - November 25, 2008

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
BOERNE, TX
Past

June 21, 2001 - November 25, 2008

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
BOERNE, TX
Past

February 2, 1998 - June 12, 2001

USAA INVESTMENT SERVICES COMPANY

BD
CRD#: 5475
SAN ANTONIO, TX

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/17/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/4/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/28/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2003
General Securities Principal Examination

Current Firm

CG
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
ALPERN FINANCIAL | SPARGER INVESTMENT SERVICES | SENIOR WEALTH MANAGEMENT | RHINO WEALTH MANAGEMENT | PROVIDENCE FINANCIAL SERVICES | PROTRUST ADVISORS | PLUS POINT ADVISORS | MOREHEAD PLAN ADMINISTRATORS | MILLER FINANCIAL | MCMAHAN & ASSOCIATES | MASTERS PCG | IPS FINANCIAL SERVICES CORP. D/B/A MCMAHAN & ASSOCIATES | IPS FINANCIAL SERVICES CORP. | INTRACOASTAL GROUP | IBEX CAPITAL | HORIZON FINANCIAL SERVICES | HARVEST CAPITAL | FORTIUS WEALTH MANAGEMENT | FINANCIAL AND TAX STRATEGIES | ED KIRKLAND & COMPANY | DIANNE ODOM, CPA | DANNY DAHL FINANCIAL | CURRY & CURRY | CENTERMARK CAPITAL MANAGEMENT | CAPITAL PLAN ADVISORS | CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC | CAPITAL GUARDIAN WEALTH MANAGEMENT | BLANCHARD FINANCIAL SERVICES | ARCHER INVESTMENT MANAGEMENT

CRD#: 131631 / SEC#: 801-63969

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Contact information

Main Address
1395 Brickell Avenue, Suite 800, Miami, FL 33131
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

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.

Company Information

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

CRD#: 131631

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