German R. Mora

GAGNI WEALTH MANAGEMENT LLC

Davenport, FL

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CRD#: 5032958

Professional summary

German Ricardo Mora, who also goes by German R Mora, is a registered financial advisor currently at GAGNI WEALTH MANAGEMENT LLC located in Davenport, Florida and ERNST & YOUNG INVESTMENT ADVISERS LLP located in Poinciana, Florida.

German is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. German has worked at 15 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

German R Mora

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.

GM Financial & Trust, LLC, Investments Management, Orlando, FL, 100% Ownership; Since 1/2015, 20 Hours per month; 1 hour during trading. Robert A Brandon Inc. Investment Related; Miami, FL Insurance Sales, Since 3/2020; 2 hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view German Ricardo Mora'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®

None

Experience

Current

November 13, 2021 - Present

GAGNI WEALTH MANAGEMENT LLC

RIA

CRD#: 169527

Davenport, FL

Current

October 31, 2023 - Present

ERNST & YOUNG INVESTMENT ADVISERS LLP

Office #2: 200 S Orange Ave #2800, Orlando, FL 32801

RIA

CRD#: 110921

Poinciana, FL

Past

May 17, 2021 - December 23, 2021

SB ADVISORY, LLC

RIA

CRD#: 154680

Miami, FL

Past

May 14, 2021 - December 23, 2021

SAN BLAS SECURITIES LLC

CRD#: 290605

CHICAGO, IL

Past

July 3, 2019 - March 9, 2021

STONEX INTERNATIONAL ADVISORS INC

RIA

CRD#: 153799

MIAMI, FL

Past

June 28, 2019 - March 9, 2021

STONEX INTERNATIONAL SECURITIES INC.

CRD#: 146667

MIAMI, FL

Past

August 29, 2017 - June 28, 2019

BOREAL CAPITAL MANAGEMENT LLC

RIA

CRD#: 112221

MIAMI, FL

Past

August 29, 2017 - June 28, 2019

BOREAL CAPITAL SECURITIES LLC

CRD#: 158599

MIAMI, FL

Past

March 14, 2017 - March 14, 2017

GAGNI WEALTH MANAGEMENT LLC

RIA

CRD#: 169527

MIAMI, FL

Past

November 29, 2016 - February 24, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MIAMI, FL

Past

November 29, 2016 - February 24, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MIAMI, FL

Past

January 21, 2015 - December 2, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN ANTONIO, TX

Past

January 21, 2015 - December 2, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN ANTONIO, TX

Past

May 16, 2013 - November 24, 2014

BBVA SECURITIES INC.

CRD#: 27060

SAN ANTONIO, TX

Past

July 11, 2011 - November 24, 2014

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

SAN ANTONIO, TX

Past

June 24, 2011 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

SAN ANTONIO, TX

Past

September 14, 2007 - September 15, 2009

CP CAPITAL SECURITIES

RIA

CRD#: 15029

MIAMI, FL

Past

September 7, 2007 - September 15, 2009

CP CAPITAL SECURITIES

CRD#: 15029

MIAMI, FL

Past

August 7, 2006 - May 25, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MIAMI, FL

Past

July 19, 2006 - May 25, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

MIAMI, FL

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.

Highlighted states indicate IAR registrations

IAR

Florida
(10/31/2023)

IAR

Texas
(11/13/2021)

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

IAR

Series 66

Date: 8/2/2006

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: 12/7/2005

General Securities Representative Examination

Current Firm

GAGNI WEALTH MANAGEMENT LLC

GAGNI ASSET MANAGEMENT LLC | GAGNI WEALTH MANAGEMENT LLC | GAGNI FINANCIAL SERVICES

CRD#: 169527 / SEC#:

Texas

Registered Investment Advisory firm - (1/3/2014 Approved)

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Contact information

Main Address

17806 Ih 10 Ste. 300, San Antonio, TX 78257

Mailing Address

Phone number

(361) 563-9217

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	264
AUM (Assets Under Management)	$ 57,433,326

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

German R. Mora

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view German Ricardo Mora's CRS (Customer Relationship Summary).

Certified licenses

Experience

ERNST & YOUNG INVESTMENT ADVISERS LLP

SB ADVISORY, LLC

SAN BLAS SECURITIES LLC

STONEX INTERNATIONAL ADVISORS INC

STONEX INTERNATIONAL SECURITIES INC.

BOREAL CAPITAL MANAGEMENT LLC

BOREAL CAPITAL SECURITIES LLC

GAGNI WEALTH MANAGEMENT LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BBVA SECURITIES INC.

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CP CAPITAL SECURITIES

CP CAPITAL SECURITIES

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/2/2006

SIE

Date: 10/1/2018

Series 7

Date: 12/7/2005

Current Firm

GAGNI WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GAGNI WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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