Juan C. Puig

DIREWOLF WEALTH MANAGEMENT

Woodlands, TX 77380

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CRD#: 5510049

Professional summary

Juan C. Puig, who also goes by Juan C Puig, Juan C. Puig, is a registered financial advisor currently at DIREWOLF WEALTH MANAGEMENT, LLC located in Woodlands, Texas.

Juan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Juan has worked at 2 firms and has passed the Series 65, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Juan C Puig | Juan C. Puig

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.

THEFRACTALSTACK. ONLINE BLOG. PUBLISHER/AUTHOR. PROVIDES GENERAL COMMENTARY ON FINANCIAL MARKETS, ECONOMICS, AND RELATED TOPICS. EDUCATIONAL IN NATURE. NOT PROVIDING INDIVIDUALIZED INVESTMENT ADVICE. APPROXIMATELY 5 HOURS PER MONTH, NONE DURING SECURITIES TRADING HOURS. INCIDENTAL ADVERTISING REVENUE, NOT MATERIAL. INVESTMENT-RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juan C. Puig'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

January 14, 2014 - Present

DIREWOLF WEALTH MANAGEMENT, LLC

Office #1: 1095 Evergreen Circle Suite 200, Woodlands, TX 77380

RIA

CRD#: 169000

Woodlands, TX

Past

May 27, 2010 - May 20, 2016

TCT SECURITIES & DERIVATIVES, LLC

CRD#: 149679

MIAMI, FL

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

Texas
(4/10/2018)

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 65

Date: 10/3/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 5/20/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/2/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/23/2010

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/11/2009

General Securities Principal Examination

Current Firm

DIREWOLF WEALTH MANAGEMENT, LLC

DIREWOLF WEALTH MANAGEMENT, LLC | GOVERNING DYNAMICS, LLC

CRD#: 169000 / SEC#:

Florida

Registered Investment Advisory firm - (5/22/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/10/2018 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

1095 Evergreen Circle Suite 200, Woodlands, TX 77380

Mailing Address

Phone number

(713) 440-9282

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 7,049,000

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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Juan C. Puig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juan C. Puig's CRS (Customer Relationship Summary).

Certified licenses

Experience

DIREWOLF WEALTH MANAGEMENT, LLC

TCT SECURITIES & DERIVATIVES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/3/2013

SIE

Date: 5/20/2016

Series 7

Date: 6/2/2009

Series 4

Date: 2/23/2010

Series 24

Date: 9/11/2009

Current Firm

DIREWOLF WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DIREWOLF WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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