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BG

Brenda M. Garcia Ayala

BANORTE ASSET MANAGEMENT
The Woodlands, TX 77380
Some features on this profile are disabled
CRD#: 6306559
BG

Professional summary

Brenda Michelle Garcia Ayala, who also goes by Brenda Garcia, 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.

Brenda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Brenda has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Brenda 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brenda Michelle Garcia Ayala'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

August 7, 2023 - Present

BANORTE ASSET MANAGEMENT, INC.

Office #1: 9950 Woodloch Forest Dr Ste 1560, The Woodlands, TX 77380
RIA
CRD#: 290555
The Woodlands, TX
Current

June 10, 2021 - Present

BANORTE SECURITIES INTERNATIONAL, LTD.

Office #1: 9950 Woodloch Forest Dr., Suite 1250, The Woodlands, TX 77380
BD
CRD#: 30648
The Woodlands, TX
Past

February 23, 2015 - June 1, 2021

VECTORGLOBAL WMG

BD
CRD#: 32396
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".
BA
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.
RR
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

RR
Texas
(6/10/2021)
IAR
Texas
(8/7/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/25/2023
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/22/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BA
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
32

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts691
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.

Company Information

BANORTE ASSET MANAGEMENT, INC.

CRD#: 290555The Woodlands, TX 77380

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