Ricardo Roche Maldonado

BANORTE ASSET MANAGEMENT

The Woodlands, TX 77380

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CRD#: 6252812

Professional summary

Ricardo Roche Maldonado, who also goes by Ricardo Roche, is a registered financial advisor currently at BANORTE ASSET MANAGEMENT, INC. located in The Woodlands, Texas and BANORTE SECURITIES INTERNATIONAL, LTD. located in The Woodlands, Texas.

Ricardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Ricardo has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ricardo Roche

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricardo Roche Maldonado'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

September 6, 2019 - Present

BANORTE ASSET MANAGEMENT, INC.

Office #1: 9950 Woodloch Forest Dr Ste 1560, The Woodlands, TX 77380

RIA

CRD#: 290555

The Woodlands, TX

Current

October 18, 2013 - Present

BANORTE SECURITIES INTERNATIONAL, LTD.

Office #1: 9950 Woodloch Forest Dr., Suite 1250, The Woodlands, TX 77380

CRD#: 30648

The Woodlands, 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".

BANORTE ASSET MANAGEMENT, INC.

BAM DIGITAL | BANORTE WEALTH MANAGEMENT | BANORTE WEALTH ADVISORS | BANORTE ASSET MANAGEMENT, INC.

CRD#: 290555 / SEC#: 801-114865

RIA

Registered Investment Advisory firm - (3/25/2019 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

Florida
(12/5/2016)

Kentucky
(8/21/2023)

New York
(12/5/2016)

Pennsylvania
(9/22/2025)

South Dakota
(6/10/2024)

Texas
(12/5/2016)

IAR

Texas
(9/6/2019)

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 65

Date: 12/20/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/29/2015

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: 10/17/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BANORTE ASSET MANAGEMENT, INC.

BAM DIGITAL | BANORTE WEALTH MANAGEMENT | BANORTE WEALTH ADVISORS | BANORTE ASSET MANAGEMENT, INC.

CRD#: 290555 / SEC#: 801-114865

RIA

Registered Investment Advisory firm - (3/25/2019 Approved)

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Contact information

Main Address

5075 Westheimer Suite 975w, Houston, TX 77056

Mailing Address

Phone number

(713) 980-4600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BANORTE ASSET MANAGEMENT, INC. - BAM DIGITAL WRAP FEE BROCHURE (APPENDIX 1) (3/28/2025)

BANORTE ASSET MANAGEMENT, INC. - FIRM BROCHURE (PART 2A) (3/28/2025)

BANORTE ASSET MANAGEMENT, INC. - BAM TRADITIONAL DISCRETIONARY AND NON-DISCRETIONARY ACCOUNTS WRAP FEE BROCHURE (APPENDIX 1) (3/28/2025)

Regulatory assets under management

Total Number of Accounts	691
AUM (Assets Under Management)	$ 336,853,862

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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Ricardo Roche Maldonado

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricardo Roche Maldonado's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANORTE SECURITIES INTERNATIONAL, LTD.

Primary Firm SEC Registration

BANORTE ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/2018

Series 63

Date: 7/29/2015

SIE

Date: 10/1/2018

Series 7

Date: 10/17/2013

FINRA

Current Firm

BANORTE ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BANORTE ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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