Roberto C. Lasa

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CRD#: 5710875

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.

Roberto Carlos Lasa, who also goes by Rob Lasa, Robert Lasa, was a registered financial professional .

Roberto is a previously registered financial professional and started their career in finance in 2009. Roberto had worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rob Lasa | Robert Lasa

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) GOLF LESSONS, 888 S DOUGLAS ROAD CORAL GABLES FL, PROVIDE GOLF LESSONS, NOT INVESTMENT RELATED, 5/2008, 4-6 HOURS PER MONTH. (2) I AM AN INSURANCE BROKER/AGENT. I SPEND ABOUT 5-10 HOURS/WEEK ON THIS BUSINESS. ABOUT 50% OF THIS BUSINESS IS DONE EARLY MORNING AND EARLY EVENINGS. THE REST IS DONE BETWEEN THE HOURS OF 9:00 AM - 4:00 PM.

Blog Corner

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®

None

Experience

Past

October 20, 2011 - May 24, 2024

ALHAMBRA INVESTMENT MANAGEMENT LLC

RIA

CRD#: 138537

PALMETTO BAY, FL

Past

December 17, 2009 - August 2, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

CORAL GABLES, FL

Past

September 29, 2009 - October 22, 2009

SIGNATOR INVESTORS, INC.

CRD#: 468

MIAMI, FL

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".

ALHAMBRA INVESTMENT MANAGEMENT LLC

ALHAMBRA INVESTMENT MANAGEMENT LLC | ALHAMBRA INVESTMENT PARTNERS LLC

CRD#: 138537 / SEC#: 801-66624

RIA

Registered Investment Advisory firm - (5/4/2006 Approved)

Texas

Registered Investment Advisory firm - (5/1/2006 Terminated)

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).

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.

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: 9/22/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/25/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/28/2009

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALHAMBRA INVESTMENT MANAGEMENT LLC

ALHAMBRA INVESTMENT MANAGEMENT LLC | ALHAMBRA INVESTMENT PARTNERS LLC

CRD#: 138537 / SEC#: 801-66624

RIA

Registered Investment Advisory firm - (5/4/2006 Approved)

Texas

Registered Investment Advisory firm - (5/1/2006 Terminated)

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Contact information

Main Address

8925 Sw 148 Street Suite 214, Palmetto Bay, FL 33176

Mailing Address

Po Box 1198, Aiken, SC 29802

Phone number

(305) 233-3772

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AIM GENERAL BROCHURE - 2025 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	486
AUM (Assets Under Management)	$ 278,558,234

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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Roberto C. Lasa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALHAMBRA INVESTMENT MANAGEMENT LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

ALHAMBRA INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/22/2011

Series 63

Date: 1/25/2010

Series 6

Date: 9/28/2009

Current Firm

ALHAMBRA INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALHAMBRA INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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