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RA

Rudy Anguiano

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
Chino Hills, CA
Some features on this profile are disabled
CRD#: 5188950
RA

Professional summary

Rudy Anguiano is a registered financial advisor currently at ALEXANDER CAPITAL WEALTH MANAGEMENT LLC located in Chino Hills, California and ALEXANDER CAPITAL, L.P. located in Red Bank, New Jersey.

Rudy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Rudy has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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 Rudy Anguiano'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

January 9, 2026 - Present

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

RIA
CRD#: 157714
Chino Hills, CA
Current

January 12, 2026 - Present

ALEXANDER CAPITAL, L.P.

Office #1: 10 Drs James Parker Blvd Suite 202, Red Bank, NJ 07701
BD
CRD#: 40077
Red Bank, NJ
Past

April 4, 2022 - December 18, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
BREA, CA
Past

April 4, 2022 - December 18, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
BREA, CA
Past

September 25, 2020 - April 8, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
ALISO VEIJO, CA
Past

September 24, 2020 - April 8, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
ALISO VEIJO, CA
Past

February 29, 2016 - September 28, 2020

WADDELL & REED

RIA
CRD#: 866
BREA, CA
Past

February 26, 2016 - September 28, 2020

WADDELL & REED

BD
CRD#: 866
BREA, CA
Past

September 17, 2013 - March 1, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PICO RIVERA, CA
Past

September 16, 2013 - March 1, 2016

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PICO RIVERA, CA
Past

February 14, 2012 - September 17, 2013

U.S. BANCORP INVESTMENTS, INC.

RIA
CRD#: 17868
DOWNEY, CA
Past

March 17, 2010 - September 17, 2013

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
DOWNEY, CA
Past

October 7, 2008 - January 19, 2010

LPL FINANCIAL LLC

BD
CRD#: 6413
LOS ANGELES, CA
Past

February 2, 2007 - October 16, 2008

WAMU INVESTMENTS, INC.

BD
CRD#: 599
LOS ANGELES, 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".
AC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC | MEDAX CAPITAL | LCORE WEALTH MANAGEMENT LLC | AXIO WEALTH STRATEGIES | ARTHUR MORRIS LIFFESTYLE WEALTH MANAGEMENT | ALEXANDER CAPITAL, L.P.

CRD#: 157714 / SEC#: 801-112997

RIA
Registered Investment Advisory firm - (4/30/2018 Approved)
Arkansas
Registered Investment Advisory firm - (5/15/2018 Terminated)
New Jersey
Registered Investment Advisory firm - (6/20/2018 Terminated)
New York
Registered Investment Advisory firm - (5/15/2018 Terminated)
Texas
Registered Investment Advisory firm - (5/15/2018 Terminated)
Washington
Registered Investment Advisory firm - (5/22/2018 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

IAR
California
(1/9/2026)
RR
California
(1/12/2026)
RR
New Jersey
(1/30/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/13/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/14/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/31/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/31/2007
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

AC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC | MEDAX CAPITAL | LCORE WEALTH MANAGEMENT LLC | AXIO WEALTH STRATEGIES | ARTHUR MORRIS LIFFESTYLE WEALTH MANAGEMENT | ALEXANDER CAPITAL, L.P.

CRD#: 157714 / SEC#: 801-112997

RIA
Registered Investment Advisory firm - (4/30/2018 Approved)
Arkansas
Registered Investment Advisory firm - (5/15/2018 Terminated)
New Jersey
Registered Investment Advisory firm - (6/20/2018 Terminated)
New York
Registered Investment Advisory firm - (5/15/2018 Terminated)
Texas
Registered Investment Advisory firm - (5/15/2018 Terminated)
Washington
Registered Investment Advisory firm - (5/22/2018 Terminated)
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Contact information

Main Address
10 Drs. James Parker Blvd Suite 202, Red Bank, NJ 07701
Mailing Address
Phone number
(212) 687-5650
Established
Firm type
Fiscal year end
# of Employees
29

SEC notice filing (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ALEXANDER CAPITAL WEALTH MANAGEMENT, LLC FIRM BROCHURE (3/11/2025)
ALEXANDER CAPITAL WEALTH MANAGEMENT LLC APPENDIX 1 (3/11/2025)

Regulatory assets under management

Total Number of Accounts999
AUM (Assets Under Management)$ 212,106,766

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.

Company Information

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

CRD#: 157714Chino Hills, CA

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