Francisco J. Vaca

ADVISORY INVESTOR SERVICES LLC

West Windsor, NJ

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CRD#: 3261341

Professional summary

Francisco Javier Vaca, who also goes by Francisco J Vaca, is a registered financial advisor currently at ADVISORY INVESTOR SERVICES LLC located in West Windsor, New Jersey and MIURA CAPITAL, LLC located in Miami, Florida.

Francisco is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Francisco has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Francisco J Vaca

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.

MR. VACA IS DUALLY REGISTERED WITH MIURA CAPITAL LLC, A BROKER DEALER BASED IN MIAMI, FL.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francisco Javier Vaca'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

August 3, 2021 - Present

ADVISORY INVESTOR SERVICES LLC

RIA

CRD#: 173134

West Windsor, NJ

Current

December 26, 2019 - Present

MIURA CAPITAL, LLC

Office #1: 1200 Brickell Ave Suite 250, Miami, FL 33131

CRD#: 146193

Miami, FL

Past

May 14, 2010 - December 23, 2019

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

July 1, 2003 - May 17, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NEW YORK, NY

Past

September 7, 1999 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

ADVISORY INVESTOR SERVICES LLC

CRD#: 173134 / SEC#: 801-122774

RIA

Registered Investment Advisory firm - (11/26/2021 Approved)

Florida

Registered Investment Advisory firm - (12/16/2021 Terminated)

Maryland

Registered Investment Advisory firm - (12/17/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (12/23/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (12/20/2021 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

Florida
(12/26/2019)

Louisiana
(7/23/2021)

Massachusetts
(4/12/2024)

New Jersey
(5/24/2021)

IAR

New Jersey
(8/3/2021)

New York
(12/26/2019)

Texas
(7/23/2021)

IAR

Texas
(2/16/2025)

Washington
(9/15/2022)

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: 5/7/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/21/1999

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: 4/25/2002

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/3/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ADVISORY INVESTOR SERVICES LLC

CRD#: 173134 / SEC#: 801-122774

RIA

Registered Investment Advisory firm - (11/26/2021 Approved)

Florida

Registered Investment Advisory firm - (12/16/2021 Terminated)

Maryland

Registered Investment Advisory firm - (12/17/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (12/23/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (12/20/2021 Terminated)

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Contact information

Main Address

1200 Brickell Avenue Suite 250, Miami, FL 33131

Mailing Address

Phone number

(786) 462-6044

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2B FOR AIS (4/11/2025)

Regulatory assets under management

Total Number of Accounts	208
AUM (Assets Under Management)	$ 181,222,912

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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Firm Stability Insights

Francisco J. Vaca

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francisco Javier Vaca's CRS (Customer Relationship Summary).

Certified licenses

Experience

MIURA CAPITAL, LLC

MORGAN STANLEY

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

ADVISORY INVESTOR SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/2021

Series 63

Date: 9/21/1999

SIE

Date: 10/1/2018

Series 3

Date: 4/25/2002

Series 7

Date: 9/3/1999

FINRA

Current Firm

ADVISORY INVESTOR SERVICES LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADVISORY INVESTOR SERVICES LLC

TRUST BUT VERIFY

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