Alejandro A. Tapia
SYMPHONY FINANCIAL, LTD. CO. | President
Houston, TX 77032
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CRD#: 4644355
Professional summary
Alejandro Alfonso Tapia, AIF®, who also goes by Alex Alfonso Tapia, Alex Tapia, is a registered financial advisor currently at SYMPHONY FINANCIAL, LTD. CO. located in Houston, Texas and LPL FINANCIAL LLC located in Houston, Texas.
Alejandro is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Alejandro has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Financial planning
Trading individual securities
Retirement planning
What is your current number of clients?
Greater than 100
Are you a "fiduciary"?
Yes
Aliases
Alex Alfonso Tapia | Alex Tapia
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) 10/04/2004: AVIATION RETIREMENT STRATEGIES, LLC - DBA for LPL Business (entity for LPL business) - Not Investment Related - At Reported Business Location(s) (2) 7/12/2017: Symphony Financial Ltd. Co. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 07/15/2014 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Symphony Financial Ltd. Co., an independent investment advisor firm. I started this business activity in 07/2014. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (3) 7/12/2017: Symphony Financial Ltd. Co. - DBA: (Hybrid) Aviation Retirement Strategies, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 07/15/2014 - 160 Hours Per Month During Securities Trading. (4) 1/16/2019 - ARS Private Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/12/2018 - 36 Hours Per Month/3 Hours During Securities Trading. (5) 9/14/2020 - ARS Leasing - Investment Related - Conroe, TX 77302 - Real Estate Rental - Started 08/01/2020 - 1 Hour Per Month/0 Hours During Securities Trading - Personal aircraft hangar space being rented out to a private individual private aircraft. (6) 3/3/2023 - No Business Name - Not Investment Related - At Reported Business Location(s) - Business Owner - Start Date - 10/04/2004 - 2 Hours Per Month/0 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Alejandro Alfonso Tapia'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®
Experience
Current
July 23, 2014 - Present
SYMPHONY FINANCIAL, LTD. CO.
Office #1: 17725 John F. Kennedy Blvd, Houston, TX 77032RIA
CRD#: 171816
Houston, TX
Current
October 1, 2004 - Present
LPL FINANCIAL LLC
Office #1: 17725 John F Kennedy Blvd 2nd Floor, Houston, TX 77032RIA
BD
CRD#: 6413
HOUSTON, TX
Past
October 1, 2004 - October 30, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
April 8, 2003 - October 6, 2004
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WOODLANDS, TX
Past
April 8, 2003 - October 6, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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".
SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT
CRD#: 171816 / SEC#: 801-79989
RIA
Registered Investment Advisory firm - (6/30/2014 Approved)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.RR
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
RR
Alabama(11/21/2006)
RR
Arizona(10/22/2007)
RR
Arkansas(12/7/2015)
RR
California(10/4/2016)
RR
Colorado(10/1/2004)
RR
Delaware(2/2/2023)
RR
Florida(11/15/2004)
RR
Georgia(1/8/2014)
RR
Hawaii(3/24/2015)
RR
Idaho(8/22/2014)
RR
Illinois(5/23/2013)
RR
Indiana(8/13/2020)
RR
Louisiana(1/21/2011)
RR
Maryland(6/25/2018)
RR
Minnesota(9/20/2012)
RR
Missouri(6/18/2020)
RR
Montana(2/3/2025)
RR
Nebraska(12/8/2009)
RR
Nevada(10/1/2004)
RR
New Hampshire(6/28/2007)
RR
New Jersey(1/4/2006)
RR
New Mexico(6/5/2019)
RR
New York(10/20/2005)
RR
North Carolina(3/12/2012)
RR
Ohio(4/5/2006)
RR
Oregon(2/2/2021)
RR
Pennsylvania(3/2/2005)
RR
South Carolina(10/4/2016)
RR
South Dakota(8/1/2011)
RR
Tennessee(7/9/2015)
RR
Texas(10/1/2004)
IAR
Texas(7/23/2014)
RR
Utah(7/8/2014)
RR
Virginia(10/4/2016)
RR
Washington(8/9/2012)
RR
Wisconsin(6/29/2021)
RR
Wyoming(11/10/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT
CRD#: 171816 / SEC#: 801-79989
RIA
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Contact information
Main Address
4295 San Felipe Suite 300, Houston, TX 77027
Mailing Address
Phone number
(281) 272-6800
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,324 |
| AUM (Assets Under Management) | $ 1,093,185,695 |
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.
Company Information
SYMPHONY FINANCIAL, LTD. CO.
PresidentCRD#: 171816Houston, TX 77032TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
