Juan G. Garces

57 WEST CAPITAL ADVISORS

AUSTIN, TX 78759

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CRD#: 4614691

Professional summary

Juan Gabriel Garces is a registered financial advisor currently at 57 WEST CAPITAL ADVISORS, INC. located in Austin, Texas.

Juan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Juan has worked at 2 firms and has passed the Series 63 and Series 7 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.

-57 West Capital Holdings, Inc. and its subsidiaries (57 West Capital Advisors, Inc., 57 West Capital Markets, Inc., 57 West Capital Markets, Ltd., & 57 West Capital Overseas, Ltd) -Investment Related -11615 Angus Rd. Suite 104-G Austin, Texas 78759 -Holding Company -President -Controlling Shareholder -June, 1998 -Approximately 60 hrs/month -Approximately 2 hours per day during trading hours -Oversees all business activities, asset allocation, and strategy of the holding company and each of its subsidiaries.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juan Gabriel Garces'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®

None

Experience

Current

December 4, 2002 - Present

57 WEST CAPITAL ADVISORS, INC.

Office #1: 11615 Angus Road, Suite 104-k, Austin, TX 78759

RIA

CRD#: 115378

AUSTIN, TX

Past

June 17, 2013 - October 31, 2013

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

ORLANDO, FL

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

Texas
(12/4/2002)

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.

Exams

State Security Law Exam

Series 63

Date: 7/19/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/15/2013

General Securities Representative Examination

Current Firm

57 WEST CAPITAL ADVISORS, INC.

57 WEST CAPITAL ADVISORS, INC. | FREEDOM PORTFOLIO SERVICES (DBA) | FREEDOM BUSINESS CORPORATION | FREEDOM ASSET MANAGEMENT CORPORATION OF AMERICA | FREEDOM ASSET MANAGEMENT CORPORATION OF AMERCIA

CRD#: 115378 / SEC#:

Louisiana

Registered Investment Advisory firm - (5/5/2023 Approved)

Texas

Registered Investment Advisory firm - (4/20/1999 Approved)

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Contact information

Main Address

11615 Angus Road Suite 104-k, Austin, TX 78759

Mailing Address

Phone number

(833) 457-5757

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	78
AUM (Assets Under Management)	$ 39,783,386

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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Juan G. Garces

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juan Gabriel Garces's CRS (Customer Relationship Summary).

Certified licenses

Experience

57 WEST CAPITAL ADVISORS, INC.

INTERNATIONAL ASSETS ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/19/2013

Series 7

Date: 6/15/2013

Current Firm

57 WEST CAPITAL ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

57 WEST CAPITAL ADVISORS, INC.

TRUST BUT VERIFY

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