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HM

Hector F. Munguia Romo

IPG INVESTMENT ADVISORS
TUCSON, AZ 85718
Some features on this profile are disabled
CRD#: 3087449
HM

Professional summary

Hector Francisco Munguia Romo, who also goes by Hector Francisco Munguia, is a registered financial advisor currently at IPG INVESTMENT ADVISORS, LLC located in Tucson, Arizona and INVESTMENT PLACEMENT GROUP located in Tucson, Arizona.

Hector is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Hector has worked at 2 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Hector Francisco Munguia

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. Urbi, Desarrollos Urbanos SA de CV., not investment related, Avenida Alvaro Obregon 1100 Segunda 21100, Mexicali, BC, Mexico Real Estate Developer in Mexico, Board Member, start date June 21, 2016 20 hours per year representing a shareholder of the company

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hector Francisco Munguia Romo'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

Office #1: 3573 East Sunrise Drive Suite 120, Tucson, AZ 85718
RIA
CRD#: 152990
TUCSON, AZ
Current

July 4, 2008 - Present

INVESTMENT PLACEMENT GROUP

Office #1: 3573 East Sunrise Drive Suite 120, Tucson, AZ 85718
BD
CRD#: 14458
Tucson, AZ
Past

September 7, 2012 - December 31, 2022

IPG INVESTMENT ADVISORS, LLC

RIA
CRD#: 152990
SAN DIEGO, CA

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".
II
IPG INVESTMENT ADVISORS, LLC
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.
RR
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

RR
Arizona
(1/12/2017)
IAR
Arizona
(1/12/2023)
RR
California
(10/6/2008)
IAR
California
(1/11/2023)
RR
Oklahoma
(3/10/2014)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/29/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/3/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/7/2010
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/3/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/21/2013
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/29/2010
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

II
IPG INVESTMENT ADVISORS, LLC
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
39

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts1,154
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.

Company Information

IPG INVESTMENT ADVISORS, LLC

CRD#: 152990Tucson, AZ 85718

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