Yona S. Reaux

ARAX ADVISORY PARTNERS

Houston, TX 77027

Some features on this profile are disabled

CRD#: 4677245

Professional summary

Yona S Reaux, who also goes by Yona S Reaux, Yona S Thomas, is a registered financial advisor currently at ARAX ADVISORY PARTNERS located in Houston, Texas and USCA SECURITIES LLC located in Houston, Texas.

Yona is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Yona has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Aliases

Yona S Reaux | Yona S Thomas

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. YoRo Capital LLC; non-investment related; Houston, TX; rentals; owner; member; 10/2021; 25 hours; 0 during trading hours; purchase vehicles and property to rest out through third party sites

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yona S Reaux'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

July 19, 2026 - Present

ARAX ADVISORY PARTNERS

Office #1: 4444 Westheimer Road Suite G500, Houston, TX 77027

RIA

CRD#: 133535

Houston, TX

Current

April 12, 2019 - Present

USCA SECURITIES LLC

Office #1: 4444 Westheimer Suite G500, Houston, TX 77027

CRD#: 103789

HOUSTON, TX

Past

June 30, 2021 - July 21, 2026

U.S. CAPITAL WEALTH ADVISORS, LLC

RIA

CRD#: 288199

AUSTIN, TX

Past

April 24, 2019 - June 30, 2021

USCA RIA LLC

RIA

CRD#: 152170

HOUSTON, TX

Past

July 30, 2008 - February 19, 2019

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

HOUSTON, TX

Past

January 7, 2008 - February 19, 2019

RBC CAPITAL MARKETS, LLC

CRD#: 31194

HOUSTON, TX

Past

October 31, 2007 - January 14, 2008

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

November 10, 2006 - October 22, 2007

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

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".

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 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.

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

Arkansas
(11/8/2019)

California
(11/8/2019)

Indiana
(11/21/2019)

Iowa
(11/14/2019)

Kansas
(11/13/2019)

Kentucky
(11/8/2019)

Louisiana
(11/12/2019)

Michigan
(11/13/2019)

Minnesota
(11/8/2019)

Missouri
(11/13/2019)

Montana
(11/19/2020)

New Jersey
(6/12/2024)

New York
(1/3/2020)

North Carolina
(7/7/2023)

Ohio
(5/4/2021)

Oklahoma
(11/8/2019)

Oregon
(11/12/2019)

South Carolina
(11/12/2019)

South Dakota
(11/8/2019)

Tennessee
(5/24/2021)

Texas
(4/24/2019)

IAR

Texas
(7/19/2026)

Utah
(2/19/2025)

Virginia
(11/12/2019)

Washington
(12/6/2019)

West Virginia
(12/18/2019)

Wisconsin
(11/8/2019)

Wyoming
(11/12/2019)

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: 7/28/2008

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: 7/16/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/9/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

730 17th Street Suite 107, Denver, CO 80202

Mailing Address

Phone number

(303) 633-5900

Established

Firm type

Fiscal year end

# of Employees

106

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AAP FORM ADV PART 2A 11172025 (11/17/2025)

Regulatory assets under management

Total Number of Accounts	16,559
AUM (Assets Under Management)	$ 8,960,126,874

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.

Similar Advisors

Troy Wootton

OSAIC WEALTH, INC.

IAR

Sugar Land, TX

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Robert Wyrick, Jr.

POST OAK PRIVATE WEALTH ADVISORS

IAR

HOUSTON, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Yona S. Reaux

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yona S Reaux's CRS (Customer Relationship Summary).

Certified licenses

Experience

USCA SECURITIES LLC

U.S. CAPITAL WEALTH ADVISORS, LLC

USCA RIA LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

VALIC FINANCIAL ADVISORS, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

Primary Firm SEC Registration

ARAX ADVISORY PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 7/28/2008

SIE

Date: 10/1/2018

Series 7

Date: 7/16/2007

Series 6

Date: 11/9/2006

FINRA

Current Firm

ARAX ADVISORY PARTNERS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARAX ADVISORY PARTNERS

TRUST BUT VERIFY

Similar Advisors