Ricardo Garcia Fuentes

TRB WEALTH MANAGEMENT

MCALLEN, TX 78503

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CRD#: 5730654

Professional summary

Ricardo Garcia Fuentes, who also goes by Ricardo Garcia, Rick Garcia, is a registered financial advisor currently at TRB WEALTH MANAGEMENT, LLC located in Mcallen, Texas.

Ricardo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Ricardo has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ricardo Garcia | Rick Garcia

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.

2018-Present : Texas Regional Bank / Investment Related / McAllen, TX / Regional Bank / Involves up to 160 or more hours each month, including during traditional business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricardo Garcia Fuentes'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

July 23, 2020 - Present

TRB WEALTH MANAGEMENT, LLC

Office #1: 1801 S. Mccoll Road, Mcallen, TX 78503

RIA

CRD#: 309370

MCALLEN, TX

Past

May 14, 2018 - March 31, 2021

OBS FINANCIAL

RIA

CRD#: 138615

MCALLEN, TX

Past

May 16, 2013 - January 28, 2016

BBVA SECURITIES INC.

CRD#: 27060

HARLINGEN, TX

Past

February 2, 2012 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

MCALLEN, TX

Past

December 7, 2009 - November 22, 2011

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

MCALLEN, 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".

TRB WEALTH MANAGEMENT, LLC

TRB TRUST AND WEALTH MANAGEMENT | TRB WEALTH MANAGEMENT, LLC

CRD#: 309370 / SEC#: 801-119035

RIA

Registered Investment Advisory firm - (7/23/2020 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.

Highlighted states indicate IAR registrations

IAR

Texas
(7/23/2020)

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: 4/20/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/18/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/28/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/4/2009

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TRB WEALTH MANAGEMENT, LLC

TRB TRUST AND WEALTH MANAGEMENT | TRB WEALTH MANAGEMENT, LLC

CRD#: 309370 / SEC#: 801-119035

RIA

Registered Investment Advisory firm - (7/23/2020 Approved)

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Contact information

Main Address

9821 Katy Freeway, Suite 110, Houston, TX 77024

Mailing Address

Phone number

(832) 810-3565

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRB WEALTH MANAGEMENT LLC - FORM ADV PART 2A (4/1/2025)

TRB WEALTH MANAGEMENT - FORM ADV PART 2A WRAP BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	1,355
AUM (Assets Under Management)	$ 1,169,148,483

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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Advisor Monitoring

Firm Stability Insights

Ricardo Garcia Fuentes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricardo Garcia Fuentes's CRS (Customer Relationship Summary).

Certified licenses

Experience

OBS FINANCIAL

BBVA SECURITIES INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

TRB WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/20/2018

Series 63

Date: 12/18/2009

SIE

Date: 1/28/2016

Series 6

Date: 12/4/2009

Current Firm

TRB WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRB WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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