Francisco Malfavon

MONEX ASSET MANAGEMENT

SAN DIEGO, CA 92101

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CRD#: 5116125

Professional summary

Francisco Malfavon JR, who also goes by Francisco Malfavon, Francisco Malfavon Figueroa, is a registered financial advisor currently at MONEX ASSET MANAGEMENT, INC. located in San Diego, California and MONEX SECURITIES, INC. located in San Diego, California.

Francisco is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Francisco has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Francisco Malfavon | Francisco Malfavon Figueroa

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.

09/01/17 TO PRES; MONEX ASSET MANAGEMENT, INC.; HOUSTON, TX; INVESTMENT RELATED; ADVISORY REPRESENTATIVE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francisco Malfavon JR'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®

None

Experience

Current

September 11, 2017 - Present

MONEX ASSET MANAGEMENT, INC.

Office #1: 350 10th Avenue Suite 1054, San Diego, CA 92101

RIA

CRD#: 148123

SAN DIEGO, CA

Current

September 8, 2017 - Present

MONEX SECURITIES, INC.

Office #1: 350 10th Avenue Suite 1054, San Diego, CA 92101

CRD#: 30362

SAN DIEGO, CA

Past

January 23, 2017 - June 28, 2017

SNOWDEN CAPITAL ADVISORS LLC

RIA

CRD#: 157299

SAN DIEGO, CA

Past

January 23, 2017 - June 28, 2017

SNOWDEN ACCOUNT SERVICES LLC

CRD#: 149794

San Diego, CA

Past

July 22, 2010 - January 25, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LA JOLLA, CA

Past

July 21, 2010 - January 25, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LA JOLLA, CA

Past

July 3, 2007 - July 22, 2010

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

LA JOLLA, CA

Past

April 18, 2007 - July 22, 2010

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

LA JOLLA, CA

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".

MONEX ASSET MANAGEMENT, INC.

CRD#: 148123 / SEC#: 801-120366

RIA

Registered Investment Advisory firm - (2/22/2021 Approved)

California

Registered Investment Advisory firm - (3/25/2021 Terminated)

Texas

Registered Investment Advisory firm - (2/23/2021 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.

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

California
(9/11/2017)

IAR

California
(3/8/2018)

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

IAR

Series 66

Date: 7/2/2007

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: 4/17/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MONEX ASSET MANAGEMENT, INC.

CRD#: 148123 / SEC#: 801-120366

RIA

Registered Investment Advisory firm - (2/22/2021 Approved)

California

Registered Investment Advisory firm - (3/25/2021 Terminated)

Texas

Registered Investment Advisory firm - (2/23/2021 Terminated)

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Contact information

Main Address

440 Louisiana Street Suite 1240, Houston, TX 77002

Mailing Address

Phone number

(713) 877-8234

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

FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	528
AUM (Assets Under Management)	$ 386,314,126

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

Francisco Malfavon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francisco Malfavon JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONEX SECURITIES, INC.

SNOWDEN CAPITAL ADVISORS LLC

SNOWDEN ACCOUNT SERVICES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

Primary Firm SEC Registration

MONEX ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/2/2007

SIE

Date: 10/1/2018

Series 7

Date: 4/17/2007

FINRA

Current Firm

MONEX ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MONEX ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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