RP
Roberto J. Pineda Castellvi
STONECREST ADVISORS
San Juan, PR 00907
Some features on this profile are disabled
CRD#: 4971653
RP
Professional summary
Roberto Jose Pineda Castellvi, who also goes by Roberto J. Pineda, Roberto Jose Pineda, Roberto J Pineda Castellvi, Roberto J. Pineda Casttellvi, is a registered financial advisor currently at STONECREST ADVISORS, INC. located in San Juan, and STONECREST CAPITAL MARKETS, INC. located in San Juan, .
Roberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Roberto has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roberto J. Pineda | Roberto Jose Pineda | Roberto J Pineda Castellvi | Roberto J. Pineda Casttellvi
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) Stonecrest Partners of Puerto Rico; Investment related: Yes; Address: 1369 Ashford Ave San Juan, PR 00907; Nature: Insurance Agency; Position: Insurance Agent; Start Date: 07/19; Hours/month: 10; During Trading Hours: 10; Duties: Life/Health Insurance Sales 2) Stonecrest Advisors; Investment related: Yes; Address: 1369 Ashford Ave San Juan, PR 00907; Nature: Investment Adviser; Position: Investment Adviser; Start Date: 01/20; Hours/month: 10; During Trading Hours: 10; Duties: Investment Adviser Representative for Stonecrest Advisors, Inc.
CRS (Client Relationship Summary) - RIA
Click below to view Roberto Jose Pineda Castellvi'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®
NoneExperience
Current
February 21, 2020 - Present
STONECREST ADVISORS, INC.
Office #1: 1369 Ashford Ave, San Juan, PR 00907RIA
CRD#: 142095
San Juan, PR
Current
January 17, 2020 - Present
STONECREST CAPITAL MARKETS, INC.
Office #1: 1369 Ashford Avenue Ac Hotel Mezzanine Level, San Juan, PR 00907BD
CRD#: 39616
SAN JUAN, PR
Past
January 24, 2020 - January 24, 2020
STONECREST ADVISORS, INC.
RIA
CRD#: 142095
AUSTIN, TX
Past
August 2, 2018 - January 17, 2020
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
RIA
CRD#: 134510
GUAYNABO, PR
Past
August 25, 2014 - January 17, 2020
HERBERT J. SIMS & CO, INC.
BD
CRD#: 3420
GUAYNABO, PR
Past
April 20, 2009 - August 20, 2014
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
BD
CRD#: 13042
GUAYNABO, PR
Past
April 20, 2009 - August 20, 2014
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
GUAYNABO, PR
Past
August 16, 2005 - May 19, 2009
ORIENTAL FINANCIAL SERVICES LLC
BD
CRD#: 29753
SAN JUAN, PR
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".
SA
STONECREST ADVISORS, INC.
ASHTON STEWART WEALTH MANAGEMENT INC. | STONECREST PARTNERS | STONECREST ADVISORS, INC. | SCHILD INVESTMENT ADVISORS, INC. | REDWINE & COMPANY INC | BHS ADVISORY GROUP INC.
CRD#: 142095 / SEC#: 801-128386
RIA
Registered Investment Advisory firm - (7/21/2023 Approved)California
Registered Investment Advisory firm - (6/7/2019 Terminated)District of Columbia
Registered Investment Advisory firm - (8/7/2023 Terminated)Florida
Registered Investment Advisory firm - (8/7/2023 Terminated)New Jersey
Registered Investment Advisory firm - (8/10/2023 Terminated)New York
Registered Investment Advisory firm - (8/7/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (8/7/2023 Terminated)Puerto Rico
Registered Investment Advisory firm - (8/7/2023 Terminated)Texas
Registered Investment Advisory firm - (8/7/2023 Terminated)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
Florida(4/21/2020)
RR
Georgia(1/17/2020)
RR
New York(1/17/2020)
RR
Puerto Rico(2/21/2020)
IAR
Puerto Rico(2/21/2020)
RR
Texas(3/30/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
STONECREST ADVISORS, INC.
ASHTON STEWART WEALTH MANAGEMENT INC. | STONECREST PARTNERS | STONECREST ADVISORS, INC. | SCHILD INVESTMENT ADVISORS, INC. | REDWINE & COMPANY INC | BHS ADVISORY GROUP INC.
CRD#: 142095 / SEC#: 801-128386
RIA
Registered Investment Advisory firm - (7/21/2023 Approved)California
Registered Investment Advisory firm - (6/7/2019 Terminated)District of Columbia
Registered Investment Advisory firm - (8/7/2023 Terminated)Florida
Registered Investment Advisory firm - (8/7/2023 Terminated)New Jersey
Registered Investment Advisory firm - (8/10/2023 Terminated)New York
Registered Investment Advisory firm - (8/7/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (8/7/2023 Terminated)Puerto Rico
Registered Investment Advisory firm - (8/7/2023 Terminated)Texas
Registered Investment Advisory firm - (8/7/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 West 6th Street Suite 1550, Austin, TX 78701-4666
Mailing Address
Phone number
(866) 342-1069
Established
Firm type
Fiscal year end
# of Employees
21
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 383 |
| AUM (Assets Under Management) | $ 155,297,658 |
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.
