Dragos Georgescu

ALTA VIA CAPITAL

Pleasanton, CA 94588

Some features on this profile are disabled

CRD#: 5073867

Professional summary

Dragos Georgescu is a registered financial advisor currently at ALTA VIA CAPITAL located in Pleasanton, California.

Dragos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Dragos has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dragos Georgescu'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

October 28, 2019 - Present

ALTA VIA CAPITAL

Office #1: 4695 Chabot Drive Suite 200, Pleasanton, CA 94588

RIA

CRD#: 289739

Pleasanton, CA

Past

April 27, 2018 - October 11, 2019

INSIGHT WEALTH STRATEGIES, LLC

RIA

CRD#: 293644

San Ramon, CA

Past

February 9, 2018 - May 9, 2018

OSAIC FA, INC.

CRD#: 3978

SAN RAMON, CA

Past

December 15, 2017 - May 9, 2018

OSAIC FA, INC.

RIA

CRD#: 3978

SAN RAMON, CA

Past

May 23, 2011 - December 31, 2017

INSIGHT CAPITAL RESEARCH & MANAGEMENT INC

RIA

CRD#: 105570

WALNUT CREEK, CA

Past

January 4, 2010 - February 15, 2011

CAMBRIA CAPITAL, LLC

CRD#: 133760

SAN FRANCISCO, CA

Past

April 21, 2009 - December 21, 2009

COINBASE CAPITAL MARKETS CORP

CRD#: 10722

SAN JOSE, CA

Past

January 1, 2006 - December 3, 2007

CAPSTONE INVESTMENTS

CRD#: 41400

SAN JOSE, CA

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

California
(10/28/2019)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/21/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/9/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 7/28/2006

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 7/14/2006

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 12/22/2005

General Securities Representative Examination

Current Firm

ALTA VIA CAPITAL

ALTA VIA CAPITAL | PTRC INVESTMENTS

CRD#: 289739 / SEC#:

California

Registered Investment Advisory firm - (2/15/2018 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

4695 Chabot Drive Suite 200, Pleasanton, CA 94588

Mailing Address

Phone number

(925) 694-0090

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	202
AUM (Assets Under Management)	$ 106,819,988

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

John Israel

STRATEGIC ADVISERS LLC

IAR

SAN RAMON, CA

Jason Cooke

EDELMAN FINANCIAL ENGINES

IAR

DANVILLE, CA

Daniel Torres

NYLIFE SECURITIES LLC

BRENTWOOD, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dragos Georgescu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dragos Georgescu's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSIGHT WEALTH STRATEGIES, LLC

OSAIC FA, INC.

OSAIC FA, INC.

INSIGHT CAPITAL RESEARCH & MANAGEMENT INC

CAMBRIA CAPITAL, LLC

COINBASE CAPITAL MARKETS CORP

CAPSTONE INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/2011

Series 63

Date: 5/9/2006

SIE

Date: 5/9/2018

Series 87

Date: 7/28/2006

Series 86

Date: 7/14/2006

Series 7

Date: 12/22/2005

Current Firm

ALTA VIA CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ALTA VIA CAPITAL

TRUST BUT VERIFY

Similar Advisors