KA
Kevin J. Aguas
CROSS STATE FINANCIAL GROUP LLC
FLAGSTAFF, AZ
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CRD#: 4573669
KA
Professional summary
Kevin Jay Aguas, who also goes by Kevin Aguas, is a registered financial advisor currently at CROSS STATE FINANCIAL GROUP LLC located in Flagstaff, Arizona.
Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Kevin has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Aguas
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)AGUAS INVESTMENT, INC.; INVESTMENT-RELATED; FLAGSTAFF, AZ; MANAGE MY INCOME AND EXPENSES FOR MY BUSINESS; OWNER; START DATE 11/20/2007; 0 HOURS MONTH; TRACK INCOME & EXPENSES FOR MY BUSINESS, FILE AN ANNUAL REPORT WITH AZCC. THERE ARE NO PRODUCTS OR SERVICES OFFERED THROUGH THIS CORPORATION. 2)NORTHERN ARIZONA UNIVERSITY; FCB, FLAGSTAFF, AZ; NON INVESTMENT-RELATED; TEACHER; START DATE 8/27/2012; 40 HOURS PER MONTH; 32 HOURS PER MONTH DURING MARKET HOURS; TEACH FINANCE AND BUSINESS CLASS. 3)KEVIN AGUAS; INSURANCE LICENSED; FLAGSTAFF, AZ; INVESTMENT RELATED; AGENT; START DATE 06/29/2015; 5 HOUR PER MONTH; 5 HOURS DURING TRADING; MANAGE AND MAINTAIN CLIENT ACCOUNTS.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Jay Aguas's 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®
NoneExperience
Current
December 20, 2018 - Present
CROSS STATE FINANCIAL GROUP LLC
RIA
CRD#: 282011
FLAGSTAFF, AZ
Past
April 20, 2018 - December 10, 2018
PFG ADVISORS
RIA
CRD#: 173344
FLAGSTAFF, AZ
Past
September 1, 2009 - December 10, 2018
CUE FINANCIAL GROUP, INC.
RIA
CRD#: 21033
FLAGSTAFF, AZ
Past
June 30, 2009 - August 21, 2015
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
FLAGSTAFF, AZ
Past
February 16, 2005 - June 30, 2009
GENEOS WEALTH MANAGEMENT, INC.
RIA
CRD#: 120894
FLAGSTAFF, AZ
Past
January 28, 2005 - June 30, 2009
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
FLAGSTAFF, AZ
Past
September 5, 2003 - January 31, 2005
RUBICON FINANCIAL NETWORK
RIA
CRD#: 113980
TEMPE, AZ
Past
October 14, 2002 - February 9, 2005
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
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".
CS
CROSS STATE FINANCIAL GROUP LLC
CROSS STATE FINANCIAL GROUP LLC
CRD#: 282011 / SEC#: 801-117843
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Arizona
Registered Investment Advisory firm - (11/22/2021 Terminated)Colorado
Registered Investment Advisory firm - (11/22/2021 Terminated)Florida
Registered Investment Advisory firm - (11/22/2021 Terminated)Michigan
Registered Investment Advisory firm - (11/23/2021 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2021 Terminated)South Dakota
Registered Investment Advisory firm - (11/22/2021 Terminated)Texas
Registered Investment Advisory firm - (11/22/2021 Terminated)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.Highlighted states indicate IAR registrations
IAR
Arizona(12/20/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CS
CROSS STATE FINANCIAL GROUP LLC
CROSS STATE FINANCIAL GROUP LLC
CRD#: 282011 / SEC#: 801-117843
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Arizona
Registered Investment Advisory firm - (11/22/2021 Terminated)Colorado
Registered Investment Advisory firm - (11/22/2021 Terminated)Florida
Registered Investment Advisory firm - (11/22/2021 Terminated)Michigan
Registered Investment Advisory firm - (11/23/2021 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2021 Terminated)South Dakota
Registered Investment Advisory firm - (11/22/2021 Terminated)Texas
Registered Investment Advisory firm - (11/22/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6721 Academy Rd. Ne Suite B, Albuquerque, NM 87109
Mailing Address
8424 S. Yukon St., Littleton, CO 80128
Phone number
(800) 621-6974
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,028 |
| AUM (Assets Under Management) | $ 166,767,480 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
