Jose R. Macouzet

GBM WEALTH MANAGEMENT

VAIL, CO

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CRD#: 4058287

Professional summary

Jose Roberto Macouzet is a registered financial advisor currently at GBM WEALTH MANAGEMENT, INC. located in Vail, Colorado and GBM INTERNATIONAL, INC. located in Houston, Texas.

Jose is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Jose has worked at 4 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, Series 79TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 24 and Series 4 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.

#1. LUNIMAC, LLC; 5007 WATER VIEW BEND, SUGAR LAND, TEXAS 77479; POSITION: OWNER; NON-INVESTMENT RELATED; START DATE: 09/2012; 1 HOUR/MONTH; 0 HOURS DURING TRADING; OWNER OF A REAL ESTATE PROPERTY IN COLORADO. #2. NILUMAC LLC; NO; 5007 WATER VIEW BEND, SUGAR LAND, TEXAS 77479; PASSIVE EQUITY OWNER; 10/2022; A MEXICAN COMPANY (EUCAFRAN) THAT INVESTS IN REAL ESTATE, HOSPITALITY AND TRAVEL INDUSTRY IN MEXICO; APPROXIAMTLEY 1 HOUR PER MONTH ZERO DURING TRADING; PASSIVE INVESTOR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose Roberto Macouzet'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 4, 2024 - Present

GBM WEALTH MANAGEMENT, INC.

Office #2: 2700 Post Oak Blvd Suite 1110, Houston, TX 77056

RIA

CRD#: 145049

VAIL, CO

Current

May 5, 2005 - Present

GBM INTERNATIONAL, INC.

Office #1: 2700 Post Oak Blvd., Suite 1110, Houston, TX 77056

CRD#: 28684

Houston, TX

Past

July 20, 2011 - June 30, 2022

GBM WEALTH MANAGEMENT, INC.

RIA

CRD#: 145049

HOUSTON, TX

Past

September 29, 2004 - April 15, 2005

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

LOS ANGELES, CA

Past

September 29, 2004 - April 15, 2005

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

January 24, 2003 - October 13, 2004

ILLAC ADVISORS, INC.

RIA

CRD#: 121183

HOUSTON, TX

Past

November 24, 1999 - September 9, 2004

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".

GBM WEALTH MANAGEMENT, INC.

CRD#: 145049 / SEC#: 801-129803

RIA

Registered Investment Advisory firm - (3/29/2024 Approved)

Texas

Registered Investment Advisory firm - (4/30/2024 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

Arizona
(5/5/2005)

Arkansas
(2/9/2017)

California
(5/5/2005)

IAR

California
(4/2/2024)

Colorado
(5/5/2005)

Connecticut
(5/5/2005)

Delaware
(8/27/2025)

Florida
(7/19/2017)

Illinois
(10/15/2025)

Massachusetts
(5/5/2005)

Nevada
(2/24/2022)

New York
(5/5/2005)

Texas
(5/5/2005)

IAR

Texas
(1/4/2024)

Wyoming
(10/17/2022)

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 66

Date: 8/26/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/21/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

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: 2/12/2001

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 9/25/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/23/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 6/23/2003

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 9/4/2001

Registered Options Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

GBM WEALTH MANAGEMENT, INC.

CRD#: 145049 / SEC#: 801-129803

RIA

Registered Investment Advisory firm - (3/29/2024 Approved)

Texas

Registered Investment Advisory firm - (4/30/2024 Terminated)

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Contact information

Main Address

2700 Post Oak Blvd Suite 1110, Houston, TX 77056

Mailing Address

Phone number

(281) 745-9100

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

GBM WEALTH MANAGEMENT - FORM ADV PART 2A BROCHURE - MARCH 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	461
AUM (Assets Under Management)	$ 217,668,178

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

Jose R. Macouzet

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose Roberto Macouzet's CRS (Customer Relationship Summary).

Certified licenses

Experience

GBM INTERNATIONAL, INC.

GBM WEALTH MANAGEMENT, INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

ILLAC ADVISORS, INC.

GBM INTERNATIONAL, INC.

Primary Firm SEC Registration

GBM WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/26/2002

Series 63

Date: 2/21/2000

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 2/12/2001

Series 55

Date: 9/25/2000

Series 7

Date: 11/23/1999

Series 14

Date: 1/2/2023

Series 24

Date: 6/23/2003

Series 4

Date: 9/4/2001

FINRA

Nasdaq Stock Market

Current Firm

GBM WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GBM WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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