Ana C. Tagtmeyer

MOSAIC ADVISORS

Houston, TX 77046

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CRD#: 6311454

Professional summary

Ana Carolina Tagtmeyer, who also goes by Carolina Tagtmeyer, is a registered financial advisor currently at MOSAIC ADVISORS located in Houston, Texas.

Ana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Ana has worked at 4 firms and has passed the Series 65, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carolina Tagtmeyer

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 Ana Carolina Tagtmeyer'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

June 29, 2023 - Present

MOSAIC ADVISORS

Office #1: 3773 Richmond Avenue Suite 700, Houston, TX 77046

RIA

CRD#: 164913

Houston, TX

Past

November 16, 2020 - June 20, 2023

ALTRUVISTA LLC

RIA

CRD#: 154576

HOUSTON, TX

Past

January 9, 2020 - March 9, 2021

VALMARK SECURITIES, INC.

CRD#: 31243

HOUSTON, TX

Past

October 24, 2016 - January 24, 2018

FSC SECURITIES CORPORATION

CRD#: 7461

HOUSTON, 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".

MOSAIC ADVISORS

MOSAIC | MOSAIC ADVISORS, LLC | MOSAIC ADVISORS LLC | MOSAIC ADVISORS

CRD#: 164913 / SEC#: 801-99369

RIA

Registered Investment Advisory firm - (6/10/2015 Approved)

Texas

Registered Investment Advisory firm - (6/12/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(6/29/2023)

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: 11/14/2020

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 1/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/23/2016

General Securities Representative Examination

Current Firm

MOSAIC ADVISORS

MOSAIC | MOSAIC ADVISORS, LLC | MOSAIC ADVISORS LLC | MOSAIC ADVISORS

CRD#: 164913 / SEC#: 801-99369

RIA

Registered Investment Advisory firm - (6/10/2015 Approved)

Texas

Registered Investment Advisory firm - (6/12/2015 Terminated)

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Contact information

Main Address

3773 Richmond Avenue Suite 700, Houston, TX 77046

Mailing Address

Phone number

(713) 980-4100

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

MOSAIC ADVISORS FORM ADV PART 2 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	214
AUM (Assets Under Management)	$ 499,449,089

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

Ana C. Tagtmeyer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ana Carolina Tagtmeyer's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALTRUVISTA LLC

VALMARK SECURITIES, INC.

FSC SECURITIES CORPORATION

Primary Firm SEC Registration

MOSAIC ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 11/14/2020

Series 99TO

Date: 1/2/2023

SIE

Date: 1/24/2018

Series 7

Date: 10/23/2016

Current Firm

MOSAIC ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MOSAIC ADVISORS

TRUST BUT VERIFY

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