JB
Jose C. Balcazar
MONEX ASSET MANAGEMENT
Houston, TX 77002
Some features on this profile are disabled
CRD#: 5415406
JB
Professional summary
Jose Carlos Balcazar is a registered financial advisor currently at MONEX ASSET MANAGEMENT, INC. located in Houston, Texas and MONEX SECURITIES, INC. located in Houston, Texas.
Jose is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Jose has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 24 and Series 4 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) 08/11/2016 TO PRESENT; RESTAURANTE EMILIA; GUADALAJARA, MEXICO; NOT INVESTMENT RELATED; PARTNER. (2) 03/20/2019 TO PRESENT; CASA TAPALPA PRODUCTORA; GUADALAJARA, MEXICO; NOT INVESTMENT RELATED; CO-PRODUCER IN A FILM; DEVOTE ZERO HOURS OF TIME. (3) 06/2019 TO PRESENT; SOLE-PROPRIETOR; HOUSTON, TX; NOT INVESTMENT RELATED; OWNER OF RENTAL PROPERTY; DEVOTE ZERO HOURS OF TIME.
CRS (Client Relationship Summary) - RIA
Click below to view Jose Carlos Balcazar'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®
NoneExperience
Current
October 10, 2008 - Present
MONEX ASSET MANAGEMENT, INC.
Office #1: 440 Louisiana Street Suite 1240, Houston, TX 77002RIA
CRD#: 148123
Houston, TX
Current
September 27, 2007 - Present
MONEX SECURITIES, INC.
Office #1: 440 Louisiana Street, Suite 1240, Houston, TX 77002BD
CRD#: 30362
Houston, TX
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".
MA
MONEX ASSET MANAGEMENT, INC.
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)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
RR
California(12/11/2019)
RR
Delaware(7/28/2016)
RR
Florida(10/19/2022)
RR
Nevada(8/17/2018)
RR
New Jersey(10/18/2022)
RR
New York(11/6/2007)
RR
Texas(10/30/2007)
IAR
Texas(10/10/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MONEX ASSET MANAGEMENT, INC.
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)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
440 Louisiana Street Suite 1240, Houston, TX 77002
Mailing Address
Phone number
(713) 877-8234
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (2 States and Territories)
Documents
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.
Company Information
MONEX ASSET MANAGEMENT, INC.
CRD#: 148123Houston, TX 77002TRUST BUT VERIFY
Monitor Jose Balcazar
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
