Julie A. Flores

MISSIONSQUARE RETIREMENT

Albuquerque, NM

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CRD#: 5724348

Professional summary

Julie Ann Flores, who also goes by Julie Ann Flores, Julie A Flores, is a registered financial advisor currently at MISSIONSQUARE RETIREMENT located in Albuquerque, New Mexico and MISSIONSQUARE INVESTMENT SERVICES located in Washington, District Of Columbia.

Julie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Julie has worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Julie Ann Flores | Julie A Flores

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) Name: Flores Realty Group LLC. Investment related. Nature of Business: Real Estate. Address: 5817 Western Trail NW Albuquerque NM 87120. Position: Qualifying Broker. Start Date: 06/01/2022. Number of hours per month devoted to other business 5; during securities trading hours 5. Duties: Assist buyers in finding financing options and assist with the home purchase. Assist sellers in marketing homes and finding qualified buyers. Coordinate dates and acquire all required paperwork required for closing. Manage all client files in accordance New Mexico Real Estate Commission. (2) Name: Rental property. Non-investment related. Nature of Business: Rental. Address: 5817 Western Trail NW, Albuquerque, NM 87120. Position: Owner. Start Date: 3/1/2022. Number of hours per month devoted to other business 0; during securities trading hours 0. Duties: Property owner.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Julie Ann Flores's CRS (Customer Relationship Summary).

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

March 25, 2024 - Present

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

Albuquerque, NM

Current

March 25, 2024 - Present

MISSIONSQUARE INVESTMENT SERVICES

Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240

CRD#: 19616

ALBUQUERQUE, NM

Past

July 10, 2014 - September 22, 2015

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

ALBUQUERQUE, NM

Past

March 15, 2011 - June 10, 2014

MORGAN STANLEY

CRD#: 149777

ALBUQUERQUE, NM

Past

May 5, 2010 - November 3, 2010

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

ALBUQUERQUE, NM

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".

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

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.

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

IAR

Arkansas
(12/9/2024)

IAR

Colorado
(3/26/2024)

IAR

Louisiana
(1/2/2025)

New Mexico
(3/25/2024)

IAR

New Mexico
(3/26/2024)

IAR

Oklahoma
(11/18/2024)

IAR

Texas
(3/25/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/12/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/1/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/4/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

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Contact information

Main Address

777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240

Mailing Address

Phone number

(202) 962-4600

Established

Firm type

Fiscal year end

# of Employees

599

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GUIDED PATHWAYS ADVISORY SERVICES (10/30/2025)

INSURANCE CONTRACT SEPARATE ACCOUNT ADVISORY SERVICES (3/31/2025)

INSTITUTIONAL ASSET ALLOCATION ADVISORY SERVICES (3/31/2025)

Regulatory assets under management

Total Number of Accounts	58,580
AUM (Assets Under Management)	$ 5,959,398,729

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/27/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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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Firm Stability Insights

Julie A. Flores

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Julie Ann Flores's CRS (Customer Relationship Summary).

Certified licenses

Experience

MISSIONSQUARE INVESTMENT SERVICES

PFG ADVISORS

SECURITIES AMERICA, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BOK FINANCIAL SECURITIES, INC.

BOK FINANCIAL SECURITIES, INC.

THORNBURG INVESTMENT MANAGEMENT INC

THORNBURG SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIDELITY BROKERAGE SERVICES LLC

MORGAN STANLEY

WELLS FARGO INVESTMENTS, LLC

Primary Firm SEC Registration

MISSIONSQUARE RETIREMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 2/12/2016

Series 63

Date: 7/1/2011

SIE

Date: 10/1/2018

Series 7

Date: 5/4/2010

FINRA

Current Firm

MISSIONSQUARE RETIREMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MISSIONSQUARE RETIREMENT

TRUST BUT VERIFY

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