Juaquin G. Arellano

TECTONIC ADVISORS LLC

Houston, TX 77002

Some features on this profile are disabled

CRD#: 4921770

Professional summary

Juaquin Gabriel Arellano, CFP® is a registered financial advisor currently at TECTONIC ADVISORS LLC located in Houston, Texas and SANDERS MORRIS LLC located in Houston, Texas.

Juaquin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Juaquin has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1.ETHOS DISTRIBUTION PARTNERS LLC, NOT INVESTMENT RELATED, ELECTRICAL SUPPLY RESELLER, HOUSTON TX, MEMBER, 1-5 HRS MONTH NON BUSINESS HRS. 1-5 HRS MONTH BUSINESS HRS, DUTIES-PASSIVE. 2. MENTAL HEALTH AMERICA OF GREATER HOUSTON, NOT INVESTMENT RELATED, FOUNDATION BOARD MEMBER, HOUSTON TX, BOARD MEMBER, 1-5 HRS MONTH NON BUSINESS HRS, 1-5 HRS MONTH BUSINESS HRS, OVERSIGHT OF MANAGERS ENGAGED BY THE BOARD. 3. FAMILY REACH FOUNDATION, NOT INVESTMENT RELATED, BOSTON MA, VOLUNTEER, 1-5 HRS NON BUSINESS HRS, 1-5 HRS MONTH BUSINESS HRS, PROVIDE PRO BONO FINANCIAL PLANNING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juaquin Gabriel Arellano'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

August 10, 2017 - Present

TECTONIC ADVISORS LLC

Office #1: 600 Travis Street Ste 5900, Houston, TX 77002

RIA

CRD#: 139713

Houston, TX

Current

April 6, 2017 - Present

SANDERS MORRIS LLC

Office #1: 600 Travis Suite 5900, Houston, TX 77002-3003

RIA

CRD#: 20580

Houston, TX

Past

March 18, 2013 - April 3, 2017

SALIENT CAPITAL L.P.

CRD#: 147912

HOUSTON, TX

Past

April 9, 2012 - April 3, 2017

SALIENT CAPITAL ADVISORS, LLC

RIA

CRD#: 153914

HOUSTON, TX

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".

TECTONIC ADVISORS LLC

III TO I FINANCIAL MANAGEMENT RESEARCH, L.P. | TECTONIC ADVISORS LLC

CRD#: 139713 / SEC#: 801-66385

RIA

Registered Investment Advisory firm - (4/21/2006 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.

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

Texas
(4/6/2017)

IAR

Texas
(8/10/2017)

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

Series 63

Date: 4/5/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TECTONIC ADVISORS LLC

III TO I FINANCIAL MANAGEMENT RESEARCH, L.P. | TECTONIC ADVISORS LLC

CRD#: 139713 / SEC#: 801-66385

RIA

Registered Investment Advisory firm - (4/21/2006 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

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

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

Contact information

Main Address

17 Cowboys Way Ste 250, Frisco, TX 75034

Mailing Address

Phone number

(713) 250-4200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TECTONIC ADVISORS LLC FORM ADV PART 2 BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	7,991
AUM (Assets Under Management)	$ 4,346,451,704

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/24/2024	Cover Page	Report
03/06/2023	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.

Similar Advisors

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

James Marshall

MARSHALL WEALTH MANAGEMENT, LLC

IAR

SUGAR LAND, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Juaquin G. Arellano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juaquin Gabriel Arellano's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANDERS MORRIS LLC

SALIENT CAPITAL L.P.

SALIENT CAPITAL ADVISORS, LLC

Primary Firm SEC Registration

TECTONIC ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/5/2013

SIE

Date: 10/1/2018

Series 7

Date: 3/15/2013

FINRA

Current Firm

TECTONIC ADVISORS LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TECTONIC ADVISORS LLC

TRUST BUT VERIFY

Similar Advisors