Marcelo A. Herz

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CRD#: 4839744

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Marcelo Alejandro Herz was a registered financial professional .

Marcelo is a previously registered financial professional and started their career in finance in 2004. Marcelo had worked at 8 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 23, 2019 - January 28, 2022

INVEX ADVISORS LLC

RIA

CRD#: 164519

CORAL GABLES, FL

Past

April 11, 2018 - January 28, 2022

INVEX, LLC.

CRD#: 30032

CORAL GABLES, FL

Past

February 2, 2017 - June 9, 2017

ARCA CAPITAL INVESTMENTS, INC.

CRD#: 109819

MIAMI, FL

Past

August 31, 2012 - April 20, 2015

OPPENHEIMER & CO. INC.

CRD#: 249

MIAMI, FL

Past

November 15, 2010 - August 30, 2011

VECTORGLOBAL WMG

CRD#: 32396

MIAMI, FL

Past

October 10, 2008 - March 11, 2009

RODMAN & RENSHAW, LLC

CRD#: 16415

NEW YORK, NY

Past

April 17, 2006 - June 11, 2007

INTL FCSTONE CREDIT TRADING LLC

CRD#: 41025

NEW YORK, NY

Past

November 2, 2004 - April 27, 2006

MORGAN STANLEY & CO. LLC

CRD#: 8209

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".

INVEX ADVISORS LLC

CRD#: 164519 / SEC#: 801-108084

RIA

Registered Investment Advisory firm - (7/5/2016 Approved)

Florida

Registered Investment Advisory firm - (8/1/2016 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/2/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 1/18/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 11/1/2004

General Securities Representative Examination

Current Firm

INVEX ADVISORS LLC

CRD#: 164519 / SEC#: 801-108084

RIA

Registered Investment Advisory firm - (7/5/2016 Approved)

Florida

Registered Investment Advisory firm - (8/1/2016 Terminated)

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Contact information

Main Address

2 Alhambra Plaza Ste. Ph Ii, Coral Gables, FL 33134

Mailing Address

Phone number

(786) 425-1717

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INVEX ADVISORS ADV PART 2A BROCHURE (3/10/2025)

Regulatory assets under management

Total Number of Accounts	69
AUM (Assets Under Management)	$ 659,605,631

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

Marcelo A. Herz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INVEX, LLC.

ARCA CAPITAL INVESTMENTS, INC.

OPPENHEIMER & CO. INC.

VECTORGLOBAL WMG

RODMAN & RENSHAW, LLC

INTL FCSTONE CREDIT TRADING LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

INVEX ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/2/2004

SIE

Date: 10/1/2018

Series 87

Date: 1/18/2005

Series 7

Date: 11/1/2004

Current Firm

INVEX ADVISORS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVEX ADVISORS LLC

TRUST BUT VERIFY

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