Hector Robles

JRS INVESTMENTS AND WEALTH PRESERVATION

Fullerton, CA

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CRD#: 5294849

Professional summary

Hector Robles Jr, who also goes by Hector Robles, is a registered financial advisor currently at JRS INVESTMENTS AND WEALTH PRESERVATION, LLC located in Fullerton, California.

Hector is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Hector has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hector Robles

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.

Life and Health Insurance licensed: In Hawaii - #348148, In California- #0I11712 TransWest Capital - Non-Investment Related 1700 W. Walnut Ave., Suite B Visalia, CA 93277 Customer Service - Inbound calls - Sales of Accts Receivable Started Mar. 2019 30 hrs/wk Does not affect my ability to service my investment business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hector Robles Jr'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

September 27, 2019 - Present

JRS INVESTMENTS AND WEALTH PRESERVATION, LLC

RIA

CRD#: 146933

Fullerton, CA

Past

May 1, 2007 - October 25, 2017

EDWARD JONES

RIA

CRD#: 250

KAILUA KONA, HI

Past

April 12, 2007 - October 25, 2017

EDWARD JONES

CRD#: 250

KAILUA KONA, HI

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
(9/27/2019)

IAR

Hawaii
(5/6/2020)

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: 4/26/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/25/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/11/2007

General Securities Representative Examination

Current Firm

JRS INVESTMENTS AND WEALTH PRESERVATION, LLC

19 RIA | JRS INVESTMENTS AND WEALTH PRESERVATION, LLC

CRD#: 146933 / SEC#:

California

Registered Investment Advisory firm - (6/3/2008 Approved)

Florida

Registered Investment Advisory firm - (12/9/2019 Terminated)

Hawaii

Registered Investment Advisory firm - (3/9/2020 Approved)

Idaho

Registered Investment Advisory firm - (7/8/2020 Approved)

Washington

Registered Investment Advisory firm - (9/11/2015 Approved)

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).

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Contact information

Main Address

Union, WA

Mailing Address

Phone number

(858) 735-2640

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	172
AUM (Assets Under Management)	$ 15,814,209

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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Hector Robles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hector Robles Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

JRS INVESTMENTS AND WEALTH PRESERVATION, LLC

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 4/26/2007

SIE

Date: 10/25/2017

Series 7

Date: 4/11/2007

Current Firm

JRS INVESTMENTS AND WEALTH PRESERVATION, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JRS INVESTMENTS AND WEALTH PRESERVATION, LLC

TRUST BUT VERIFY

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