CL
Carlos A. Loya
Some features on this profile are disabled
CRD#: 5497324
CL
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carlos Adrian Loya was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2008. Carlos had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
June 7, 2018 - January 6, 2020
SWBC INVESTMENT COMPANY
RIA
CRD#: 140994
SAN ANTONIO, TX
Past
June 7, 2018 - January 6, 2020
SWBC INVESTMENT SERVICES, LLC
BD
CRD#: 133715
SAN ANTONIO, TX
Past
January 3, 2018 - June 15, 2018
MORGAN STANLEY
RIA
CRD#: 149777
SAN ANTONIO, TX
Past
December 2, 2017 - June 15, 2018
MORGAN STANLEY
BD
CRD#: 149777
SAN ANTONIO, TX
Past
May 9, 2011 - July 11, 2012
MORGAN STANLEY
RIA
CRD#: 149777
EL PASO, TX
Past
May 9, 2011 - July 11, 2012
MORGAN STANLEY
BD
CRD#: 149777
EL PASO, TX
Past
October 15, 2010 - January 4, 2011
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
HOUSTON, TX
Past
April 1, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
RIA
CRD#: 105564
EL PASO, TX
Past
June 9, 2009 - March 11, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
RIA
CRD#: 17086
EL PASO, TX
Past
June 9, 2009 - January 4, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
EL PASO, TX
Past
June 24, 2008 - May 18, 2009
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
EL PASO, TX
Past
May 8, 2008 - May 18, 2009
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
EL PASO, 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".
SI
SWBC INVESTMENT COMPANY
A+ FINANCIAL CENTER | UTILITIES EMPLOYEES INVESTMENT SERVICES | US POSTAL SERVICE INVESTMENT CENTER | UNITED SA FINANCIAL SERVICES | TEXAS PARTNERS INVESTMENT CENTER | TEXAS FIRST INVESTMENT CENTER | SWBC WEALTH MANAGEMENT | SWBC INVESTMENT COMPANY | SOUTHWEST RESEARCH CENTER INVESTMENT SERVICES | SCU INVESTMENT SERVICES | RIVER CITY INVESTMENT CENTER | PLUS 4 INVESTMENT SERVICES | NORTHSTAR INVESTMENT CENTER | MEMBERS CHOICE INVESTMENT SERVICES | LOUISIANA INVESTMENT SERVICES | LAFCU- INVESTMENT SERVICES AVAILABLE AT LAFCU | JEFFERSON FINANCIAL INVESTMENT SERVICES | JAX METRO FINANCIAL SERVICES | INVESTMENT CENTER | INVESTEX | GULF COAST EDUCATORS INVESTMENT CENTER | GREATER TEXAS INVESTMENT SERVICES | GE FINANCIAL SERVICES | FLORIDA CREDIT UNION INVESTMENT SERVICES | FIRST MARK | FIRST COMMUNITY FINANCIAL SERVICES | FEDCHOICE INVESTMENT SERVICES | EVOLVE FINANCIAL SERVICES | COASTLINE INVESTMENT SERVICES | CITY & POLICE INVESTMENT SERVICES | CHOCOLATE BAYOU INVESTMENT CENTER | CHOCOLATE BAYOU COMMUNITY | BEACON INVESTMENT SERVICES | BEACON | AUSTIN TELCO INVESTMENT SERVICES | ASTERA | ARNOLD ASSET MANAGEMENT | AGGIELAND INVESTMENT CENTER | AF FINANCIAL SERVICES
CRD#: 140994 / SEC#: 801-68054
RIA
Registered Investment Advisory firm - (6/25/2007 Approved)Florida
Registered Investment Advisory firm - (12/26/2019 Terminated)Texas
Registered Investment Advisory firm - (6/29/2007 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SI
SWBC INVESTMENT COMPANY
A+ FINANCIAL CENTER | UTILITIES EMPLOYEES INVESTMENT SERVICES | US POSTAL SERVICE INVESTMENT CENTER | UNITED SA FINANCIAL SERVICES | TEXAS PARTNERS INVESTMENT CENTER | TEXAS FIRST INVESTMENT CENTER | SWBC WEALTH MANAGEMENT | SWBC INVESTMENT COMPANY | SOUTHWEST RESEARCH CENTER INVESTMENT SERVICES | SCU INVESTMENT SERVICES | RIVER CITY INVESTMENT CENTER | PLUS 4 INVESTMENT SERVICES | NORTHSTAR INVESTMENT CENTER | MEMBERS CHOICE INVESTMENT SERVICES | LOUISIANA INVESTMENT SERVICES | LAFCU- INVESTMENT SERVICES AVAILABLE AT LAFCU | JEFFERSON FINANCIAL INVESTMENT SERVICES | JAX METRO FINANCIAL SERVICES | INVESTMENT CENTER | INVESTEX | GULF COAST EDUCATORS INVESTMENT CENTER | GREATER TEXAS INVESTMENT SERVICES | GE FINANCIAL SERVICES | FLORIDA CREDIT UNION INVESTMENT SERVICES | FIRST MARK | FIRST COMMUNITY FINANCIAL SERVICES | FEDCHOICE INVESTMENT SERVICES | EVOLVE FINANCIAL SERVICES | COASTLINE INVESTMENT SERVICES | CITY & POLICE INVESTMENT SERVICES | CHOCOLATE BAYOU INVESTMENT CENTER | CHOCOLATE BAYOU COMMUNITY | BEACON INVESTMENT SERVICES | BEACON | AUSTIN TELCO INVESTMENT SERVICES | ASTERA | ARNOLD ASSET MANAGEMENT | AGGIELAND INVESTMENT CENTER | AF FINANCIAL SERVICES
CRD#: 140994 / SEC#: 801-68054
RIA
Registered Investment Advisory firm - (6/25/2007 Approved)Florida
Registered Investment Advisory firm - (12/26/2019 Terminated)Texas
Registered Investment Advisory firm - (6/29/2007 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
9311 San Pedro Avenue Suite 600, San Antonio, TX 78216-4459
Mailing Address
Phone number
(210) 376-3279
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 406 |
| AUM (Assets Under Management) | $ 229,193,705 |
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.
