Javier Cervantes Buch

THIRD WAVE CAPITAL LLC

DURHAM, NC

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CRD#: 6413996

Professional summary

Javier Cervantes Buch, who also goes by Javier Cervantes, Javier Cervantes, is a registered financial advisor currently at THIRD WAVE CAPITAL LLC located in Durham, North Carolina.

Javier is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Javier has worked at 2 firms and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Javier Cervantes | Javier Cervantes

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 Javier Cervantes Buch's 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

October 1, 2024 - Present

THIRD WAVE CAPITAL LLC

RIA

CRD#: 332862

DURHAM, NC

Past

January 23, 2015 - August 2, 2023

BCP SECURITIES, INC.

CRD#: 27063

Cuajimalpa de Morelos,

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

North Carolina
(10/1/2024)

IAR

Texas
(7/17/2025)

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/15/2014

General Securities Representative Examination

Current Firm

THIRD WAVE CAPITAL LLC

THIRD WAVE CAPITAL LLC | THIRD WAVE CAPITAL MANAGEMENT

CRD#: 332862 / SEC#:

North Carolina

Registered Investment Advisory firm - (11/13/2025 Terminated)

Texas

Registered Investment Advisory firm - (7/17/2025 Approved)

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).

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Contact information

Main Address

Austin, TX

Mailing Address

Phone number

(919) 394-1116

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Javier Cervantes Buch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Javier Cervantes Buch's CRS (Customer Relationship Summary).

Certified licenses

Experience

THIRD WAVE CAPITAL LLC

BCP SECURITIES, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 12/15/2014

Current Firm

THIRD WAVE CAPITAL LLC

Contact information

Documents

Red Flags

Company Information

THIRD WAVE CAPITAL LLC

TRUST BUT VERIFY

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