Roberto C. Apud Abud

JV GLOBAL CAPITAL

HOUSTON, TX 77056-3899

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CRD#: 6452510

Professional summary

Roberto Chaquip Apud Abud is a registered financial advisor currently at JV GLOBAL CAPITAL, INC. located in Houston, Texas.

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

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Roberto Chaquip Apud Abud'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

February 16, 2022 - Present

JV GLOBAL CAPITAL, INC.

Office #1: 1980 Post Oak Blvd. Suite 301, Houston, TX 77056-3899

RIA

CRD#: 316742

HOUSTON, TX

Past

January 5, 2022 - February 21, 2023

INSIGHT SECURITIES, INC.

CRD#: 5611

HIGHLAND PARK, IL

Past

January 4, 2022 - January 5, 2022

INSIGHT SECURITIES, INC.

RIA

CRD#: 5611

Houston, TX

Past

October 13, 2021 - February 14, 2022

JV GLOBAL CAPITAL, INC.

RIA

CRD#: 316742

Houston, TX

Past

May 15, 2015 - January 14, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SCOTTSDALE, AZ

Past

April 17, 2015 - January 14, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SCOTTSDALE, AZ

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
(2/16/2022)

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 66

Date: 5/14/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/2015

General Securities Representative Examination

Current Firm

JV GLOBAL CAPITAL, INC.

CRD#: 316742 / SEC#: 801-122487

RIA

Registered Investment Advisory firm - (3/7/2022 Terminated)

Texas

Registered Investment Advisory firm - (3/2/2022 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

1980 Post Oak Blvd. Suite 304, Houston, TX 77056-3899

Mailing Address

Phone number

(346) 355-3323

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	17
AUM (Assets Under Management)	$ 7,798,268

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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Roberto C. Apud Abud

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roberto Chaquip Apud Abud's CRS (Customer Relationship Summary).

Certified licenses

Experience

JV GLOBAL CAPITAL, INC.

INSIGHT SECURITIES, INC.

INSIGHT SECURITIES, INC.

JV GLOBAL CAPITAL, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 5/14/2015

SIE

Date: 10/1/2018

Series 7

Date: 4/16/2015

Current Firm

JV GLOBAL CAPITAL, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JV GLOBAL CAPITAL, INC.

TRUST BUT VERIFY

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