Julie A. Flores
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 WEALTH MANAGEMENT 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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Julie Ann Flores's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 25, 2024 - Present
MISSIONSQUARE RETIREMENT
March 25, 2024 - Present
MISSIONSQUARE WEALTH MANAGEMENT
Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240March 9, 2023 - March 11, 2024
PFG ADVISORS
February 15, 2023 - March 13, 2024
SECURITIES AMERICA, INC.
June 19, 2018 - March 9, 2022
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 19, 2018 - March 9, 2022
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 3, 2017 - May 21, 2018
BOK FINANCIAL SECURITIES, INC.
May 2, 2017 - May 21, 2018
BOK FINANCIAL SECURITIES, INC.
June 7, 2016 - July 5, 2016
THORNBURG INVESTMENT MANAGEMENT INC
May 26, 2016 - July 5, 2016
THORNBURG SECURITIES LLC
February 15, 2016 - March 15, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 27, 2016 - March 15, 2016
WELLS FARGO CLEARING SERVICES, LLC
July 10, 2014 - September 22, 2015
FIDELITY BROKERAGE SERVICES LLC
March 15, 2011 - June 10, 2014
MORGAN STANLEY
May 5, 2010 - November 3, 2010
WELLS FARGO INVESTMENTS, LLC
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/9/2024)
(3/26/2024)
(1/2/2025)
(3/25/2024)
(3/26/2024)
(11/18/2024)
(3/25/2024)
Exams
FINRA
Current Firm
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
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 | ||
| 01/27/2025 | ||
| 10/27/2023 |
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.
