Christian R. Escamilla

BROADWAY WEALTH SOLUTIONS

San Antonio, TX 78209

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CRD#: 4630892

Professional summary

Christian Ray Escamilla, who also goes by Christian Ray Escamilla, Christian Escamilla, is a registered financial advisor currently at BROADWAY WEALTH SOLUTIONS located in San Antonio, Texas.

Christian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Christian has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Christian Ray Escamilla | Christian Escamilla

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.

EVP, Wealth Management and Private Bank Integration Executive; Broadway Bank; Investment Related: Yes; 1177 NE Loop 410 San Antonio Texas 78209 United States; Dual employee of Broadway Bank. Broadway Bank wholly owns the RIA; Start date with business: 2020-06-01; Hours per month devoted to business during trading hours: 8; Hours per month devoted to business outside trading hours: 3; Percentage of total yearly compensation expected to be derived from the business: 100;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christian Ray Escamilla'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

September 29, 2020 - Present

BROADWAY WEALTH SOLUTIONS

Office #1: 1177 N.e. Loop 410 5th Floor, San Antonio, TX 78209

RIA

CRD#: 291753

San Antonio, TX

Past

July 24, 2017 - May 29, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN ANTONIO, TX

Past

July 24, 2017 - May 29, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN ANTONIO, TX

Past

December 19, 2014 - June 2, 2017

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

San Antonio, TX

Past

May 16, 2013 - June 2, 2017

BBVA SECURITIES INC.

CRD#: 27060

San Antonio, TX

Past

February 2, 2009 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

SAN ANTONIO, TX

Past

March 28, 2008 - October 9, 2008

WAMU INVESTMENTS, INC.

CRD#: 599

DUNCANVILLE, TX

Past

April 27, 2006 - March 3, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

FT. WORTH, TX

Past

July 6, 2005 - March 16, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

February 28, 2003 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

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".

BROADWAY WEALTH SOLUTIONS

BROADWAY SERVICES, INC. | BROADWAY WEALTH SOLUTIONS, INC. | BROADWAY WEALTH SOLUTIONS

CRD#: 291753 / SEC#: 801-124953

RIA

Registered Investment Advisory firm - (5/5/2022 Approved)

Texas

Registered Investment Advisory firm - (5/31/2022 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.

Highlighted states indicate IAR registrations

IAR

Texas
(9/29/2020)

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

IAR

Series 65

Date: 12/16/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/7/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/9/2024

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 3/9/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/28/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/27/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BROADWAY WEALTH SOLUTIONS

BROADWAY SERVICES, INC. | BROADWAY WEALTH SOLUTIONS, INC. | BROADWAY WEALTH SOLUTIONS

CRD#: 291753 / SEC#: 801-124953

RIA

Registered Investment Advisory firm - (5/5/2022 Approved)

Texas

Registered Investment Advisory firm - (5/31/2022 Terminated)

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Contact information

Main Address

1177 N.e. Loop 410 5th Floor, San Antonio, TX 78209

Mailing Address

Phone number

(210) 283-6600

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

FIRM BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	1,171
AUM (Assets Under Management)	$ 265,787,591

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/04/2024	Cover Page	Report
10/13/2023	Cover Page	Report
01/19/2023	Cover Page	Report

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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Christian R. Escamilla

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christian Ray Escamilla's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

WAMU INVESTMENTS, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

BROADWAY WEALTH SOLUTIONS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/16/2014

Series 63

Date: 3/7/2003

Series 7TO

Date: 3/9/2024

Series 6TO

Date: 3/9/2024

SIE

Date: 10/1/2018

Series 7

Date: 12/28/2015

Series 6

Date: 2/27/2003

Current Firm

BROADWAY WEALTH SOLUTIONS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BROADWAY WEALTH SOLUTIONS

TRUST BUT VERIFY

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