Emanuel O. Avina

AVINA FINANCIAL GROUP

Bellflower, CA 90706

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CRD#: 5403314

Professional summary

Emanuel Omar Avina is a registered financial advisor currently at AVINA FINANCIAL GROUP, INC. located in Bellflower, California.

Emanuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Emanuel has worked at 3 firms and has passed the Series 66, Series 63, SIE 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.

1)AVINA FINANCIAL GROUP, INC.; INVESTMENT RELATED; 13006 PHILADELPHIA ST, SUITE 305, WHITTIER, CA; INVESTMENT ADVICE; INVESTMENT ADVISOR REPRESENTATIVE; START DATE: 09/2016; 80 HOURS/MONTH; 40 HOURS/MONTH DURING TRADING HOURS; INVESTMENT ADVICE 2)AVINA INSURANCE SERVICES, INC.; NOT INVESTMENT RELATED; 13006 PHILADELPHIA ST, WHITTIER, CA; LIFE INSURANCE AND FIXED ANNUITIES; GENERAL AGENT; START DATE: 2/2018; 10 HOURS/MONTH; 4 HOURS/MONTH DURING TRADING HOURS; LIFE INSURANCE AND FIXED ANNUITIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emanuel Omar Avina'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

December 6, 2016 - Present

AVINA FINANCIAL GROUP, INC.

Office #1: 17138 Bellflower Blvd Suite 201, Bellflower, CA 90706

RIA

CRD#: 285527

Bellflower, CA

Past

January 3, 2017 - September 22, 2017

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Santa Ana, CA

Past

June 25, 2008 - December 27, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

City of Industry, CA

Past

December 18, 2007 - December 27, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

City of Industry, 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
(12/6/2016)

IAR

Texas
(2/12/2019)

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 66

Date: 1/22/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/20/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/22/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/2007

General Securities Representative Examination

Current Firm

AVINA FINANCIAL GROUP, INC.

AVINA FINANCIAL GROUP | AVINA FINANCIAL GROUP, INC.

CRD#: 285527 / SEC#:

California

Registered Investment Advisory firm - (12/6/2016 Approved)

Texas

Registered Investment Advisory firm - (2/12/2019 Conditional Restricted)

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Contact information

Main Address

17138 Bellflower Blvd Suite 201, Bellflower, CA 90706

Mailing Address

Phone number

(562) 464-3973

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	189
AUM (Assets Under Management)	$ 76,500,000

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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Emanuel O. Avina

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emanuel Omar Avina's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVINA FINANCIAL GROUP, INC.

PURSHE KAPLAN STERLING INVESTMENTS

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/22/2008

Series 63

Date: 4/20/2007

SIE

Date: 9/22/2017

Series 7

Date: 12/17/2007

Current Firm

AVINA FINANCIAL GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AVINA FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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