FF
Freddy A. Figueroa
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CRD#: 4487114
FF
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Freddy Arthur Figueroa, who also goes by Fred A. Figueroa, was a registered financial professional .
Freddy is a previously registered financial professional and started their career in finance in 2002. Freddy had worked at 3 firms and has passed the Series 6 exam.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Fred A. Figueroa
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.
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®
NoneExperience
Past
January 13, 2020 - September 1, 2021
CLARAPHI ADVISORY NETWORK, LLC
RIA
CRD#: 165868
Pasadena, CA
Past
January 26, 2005 - July 24, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
PASADENA, CA
Past
November 6, 2003 - September 22, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
April 23, 2002 - July 16, 2003
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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".
CA
CLARAPHI ADVISORY NETWORK, LLC
ADVISORS ON CALL | WINKLER WEALTH | ULTRA FINANCIAL PLUS, LLC DBA ULTRA FINANCIAL PARTNERS, LLC | THOMAS ADVISORY SERVICES, INC. | SEELAN WEALTH STRATEGIES, LLC | SEELAN WEALTH STRATEGIES, ADVANCED TAX CONSULTING, LLC | RJF, INC. | MDR HOLDINGS, LLC | LIFE PLAN RETIREMENT PARTNERS, LLC | LEGACY WEALTH PARTNERS, LEGACY RETIREMENT GROUP | HERITAGE FINANCIAL SERVICES | HACKETT ADVISORY | H. L. DINGLE & COMPANY | GOSS & COMPANY | GLOBAL WEALTH MANAGEMENT | GF THOMAS ADVISORY GROUP | GENTRY WEALTH MANAGEMENT | FORTIFIED FUTURES, INC | FINANCIAL ARCHITECTS, INC., TAX ARTISTS | FINANCIAL & INSURANCE SERVICES | ERBC, INC. | DENIS WONG & ASSOCIATES | CLARAPHI ADVISORY NETWORK, LLC | CHADWICK FINANCIAL ADVISORS | BOWEN FINANCIAL GROUP | ANDALUS CAPITAL
CRD#: 165868 / SEC#: 801-80575
RIA
Registered Investment Advisory firm - (12/4/2014 Approved)Arizona
Registered Investment Advisory firm - (12/8/2014 Terminated)California
Registered Investment Advisory firm - (1/7/2015 Terminated)Florida
Registered Investment Advisory firm - (12/8/2014 Terminated)Idaho
Registered Investment Advisory firm - (12/31/2014 Terminated)Missouri
Registered Investment Advisory firm - (12/8/2014 Terminated)New Jersey
Registered Investment Advisory firm - (12/11/2014 Terminated)New York
Registered Investment Advisory firm - (12/8/2014 Terminated)Tennessee
Registered Investment Advisory firm - (11/6/2014 Terminated)Texas
Registered Investment Advisory firm - (12/8/2014 Terminated)Washington
Registered Investment Advisory firm - (12/9/2014 Terminated)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
General Industry/Product Exam
Current Firm
CA
CLARAPHI ADVISORY NETWORK, LLC
ADVISORS ON CALL | WINKLER WEALTH | ULTRA FINANCIAL PLUS, LLC DBA ULTRA FINANCIAL PARTNERS, LLC | THOMAS ADVISORY SERVICES, INC. | SEELAN WEALTH STRATEGIES, LLC | SEELAN WEALTH STRATEGIES, ADVANCED TAX CONSULTING, LLC | RJF, INC. | MDR HOLDINGS, LLC | LIFE PLAN RETIREMENT PARTNERS, LLC | LEGACY WEALTH PARTNERS, LEGACY RETIREMENT GROUP | HERITAGE FINANCIAL SERVICES | HACKETT ADVISORY | H. L. DINGLE & COMPANY | GOSS & COMPANY | GLOBAL WEALTH MANAGEMENT | GF THOMAS ADVISORY GROUP | GENTRY WEALTH MANAGEMENT | FORTIFIED FUTURES, INC | FINANCIAL ARCHITECTS, INC., TAX ARTISTS | FINANCIAL & INSURANCE SERVICES | ERBC, INC. | DENIS WONG & ASSOCIATES | CLARAPHI ADVISORY NETWORK, LLC | CHADWICK FINANCIAL ADVISORS | BOWEN FINANCIAL GROUP | ANDALUS CAPITAL
CRD#: 165868 / SEC#: 801-80575
RIA
Registered Investment Advisory firm - (12/4/2014 Approved)Arizona
Registered Investment Advisory firm - (12/8/2014 Terminated)California
Registered Investment Advisory firm - (1/7/2015 Terminated)Florida
Registered Investment Advisory firm - (12/8/2014 Terminated)Idaho
Registered Investment Advisory firm - (12/31/2014 Terminated)Missouri
Registered Investment Advisory firm - (12/8/2014 Terminated)New Jersey
Registered Investment Advisory firm - (12/11/2014 Terminated)New York
Registered Investment Advisory firm - (12/8/2014 Terminated)Tennessee
Registered Investment Advisory firm - (11/6/2014 Terminated)Texas
Registered Investment Advisory firm - (12/8/2014 Terminated)Washington
Registered Investment Advisory firm - (12/9/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
120 Vantis Drive Suite 585, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 215-0025
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,422 |
| AUM (Assets Under Management) | $ 382,500,156 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/27/2022 |
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.
