Samuel Escobar

LAGOS WEALTH ADVISORS

Diamond Bar, CA 91765

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CRD#: 4630070

Professional summary

Samuel Escobar JR, who also goes by Sam Escobar, Samuel Escobar, is a registered financial advisor currently at LAGOS WEALTH ADVISORS located in Diamond Bar, California and MADISON AVENUE SECURITIES, LLC located in Diamond Bar, California.

Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Samuel has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sam Escobar | Samuel Escobar

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)LAGOS FINANCIAL & INSURANCE SERVICES INC (DBA LAGOS WEALTH ADVISORS);INVESTMENT RELATED; 1320 VALLEY VISTA DR, SUITE 202,DIAMOND BAR,CA 91765;RIA AND INSURANCE SERVICES;FINANCIAL ADVISOR;12/1/2003;80 HRS/MONTH;60 HRS DURING TRADING;PROVIDE FINANCIAL SERVICES,PLANNING AND ADVICE TO CLIENTS,OVERSEE INSTITUTIONAL MANAGERS AVAILABLE ON OUR PLATFORMS AND MAINTAIN CLIENT ACCOUNTS,REGULARLY MEETING WITH CLIENTS 2)TRUE REALTY DBA EFG REALTY;NOT INVESTMENT RELATED;15068 ROSECRANS AVE,#115,LA MIRADA,CA 90638;REAL ESTATE AND MORTGAGE SERVICES;BROKER;12/1/2007;80 HRS/MONTH;10 HRS DURING TRADING;PROVIDE REAL ESTATE AND MORTGAGE SERVICES TO BUYERS,SELLERS AND BORROWERS. I LIST PROPERTIES FOR SALE OR ASSIST BUYERS IN FINDING PROPERTIES. SEPARATELY, I BROKER LOANS THROUGH DIRECT LENDERS 3)TROPHY POINT INVESTMENTS;NOT INVESTMENT RELATED; ADDRESS: ATLANTA, GA; NATURE: PRIVATE REAL ESTATE LENDER STRICTLY FOR WEST POINT ALUMNI. DUTIES: CASH INVESTOR NO DUTIES; START DATE 6/2023; HOURS: LESS THAN 0 HRS/MONTH;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Escobar JR'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

January 13, 2004 - Present

LAGOS WEALTH ADVISORS

Office #1: 1320 Valley Vista Drive Suite 202, Diamond Bar, CA 91765

RIA

CRD#: 117551

Diamond Bar, CA

Current

April 18, 2022 - Present

MADISON AVENUE SECURITIES, LLC

Office #1: 1320 Valley Vista Dr., Suite 202, Diamond Bar, CA 91765

RIA

CRD#: 23224

Diamond Bar, CA

Past

October 23, 2013 - April 18, 2022

TRIAD ADVISORS LLC

CRD#: 25803

DIAMOND BAR, CA

Past

November 30, 2012 - December 20, 2012

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

DIAMOND BAR, CA

Past

November 20, 2012 - October 7, 2013

J.W. COLE FINANCIAL, INC.

CRD#: 124583

DIAMOND BAR, CA

Past

May 4, 2004 - November 19, 2012

CENTAURUS FINANCIAL, INC.

CRD#: 30833

DIAMOND BAR, CA

Past

January 9, 2004 - May 5, 2004

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

March 18, 2003 - December 2, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PASADENA, CA

Past

February 17, 2003 - December 2, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

IAR

California
(1/13/2004)

California
(4/18/2022)

Florida
(11/7/2024)

Georgia
(1/3/2024)

Montana
(4/18/2022)

New York
(4/18/2022)

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: 3/7/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/14/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LAGOS WEALTH ADVISORS

CRD#: 117551 / SEC#:

Arizona

Registered Investment Advisory firm - (12/31/2012 Terminated)

California

Registered Investment Advisory firm - (8/5/1996 Approved)

Colorado

Registered Investment Advisory firm - (12/18/2023 Approved)

New York

Registered Investment Advisory firm - (12/31/2012 Terminated)

Texas

Registered Investment Advisory firm - (8/23/2019 Conditional Restricted)

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).

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Contact information

Main Address

1320 Valley Vista Drive Suite 202, Diamond Bar, CA 91765

Mailing Address

Phone number

(714) 940-0888

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	135
AUM (Assets Under Management)	$ 60,630,120

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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Advisor Monitoring

Firm Stability Insights

Samuel Escobar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Escobar JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

MADISON AVENUE SECURITIES, LLC

TRIAD ADVISORS LLC

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 3/7/2003

SIE

Date: 10/1/2018

Series 7

Date: 2/14/2003

FINRA

Current Firm

LAGOS WEALTH ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LAGOS WEALTH ADVISORS

TRUST BUT VERIFY

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