Mauricio G. Lepe Melgoza

FINEC ASSET MANAGEMENT

SAN DIEGO, CA 92101

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CRD#: 6545104

Professional summary

Mauricio Guillermo Lepe Melgoza, who also goes by Mauricio Guillermo Lepe, Mauricio Lepe, is a registered financial advisor currently at FINEC ASSET MANAGEMENT located in San Diego, California.

Mauricio is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Mauricio has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mauricio Guillermo Lepe | Mauricio Lepe

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.

SINCE JANUARY 2018, MR. LEPE SERVES AS DIRECTOR AT FINEC ASSET MANAGEMENT CORP., A PANAMA-BASED INVESTMENT ADVISORY FIRM LOCATED AT P.H.F. & F TOWER, PISO 19 OFICINA 19-D, CALLE 50 y 56 SAN FRANCISCO, PANAMA CITY, PANAMA. TIME ALLOCATED: 20 HOURS PER WEEK SUPERVISING ADMINISTRATIVE PROCEDURES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mauricio Guillermo Lepe Melgoza'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 11, 2017 - Present

FINEC ASSET MANAGEMENT

Office #1: 402 West Broadway Suite 400, San Diego, CA 92101

RIA

CRD#: 231789

SAN DIEGO, CA

Past

January 15, 2016 - January 5, 2017

FINEC ASSET MANAGEMENT

RIA

CRD#: 231789

LA JOLLA, CA

Past

October 27, 2015 - December 31, 2015

FINEC ASSET MANAGEMENT

RIA

CRD#: 231789

LA JOLLA, CA

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".

FINEC ASSET MANAGEMENT

FINEC ASSET MANAGEMENT | FINEC ASSET MANAGEMENT LLC

CRD#: 231789 / SEC#: 801-132849

RIA

Registered Investment Advisory firm - (5/27/2025 Approved)

California

Registered Investment Advisory firm - (7/23/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/23/2025 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

California
(9/11/2017)

IAR

Texas
(9/11/2017)

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: 10/27/2015

Uniform Investment Adviser Law Examination

Current Firm

FINEC ASSET MANAGEMENT

FINEC ASSET MANAGEMENT | FINEC ASSET MANAGEMENT LLC

CRD#: 231789 / SEC#: 801-132849

RIA

Registered Investment Advisory firm - (5/27/2025 Approved)

California

Registered Investment Advisory firm - (7/23/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/23/2025 Terminated)

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Contact information

Main Address

402 West Broadway Suite 400, San Diego, CA 92101

Mailing Address

Phone number

(858) 945-3192

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

FAM DISCLOSURE BROCHURE AND SUPPLEMENT (6/23/2025)

Regulatory assets under management

Total Number of Accounts	148
AUM (Assets Under Management)	$ 126,303,888

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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Mauricio G. Lepe Melgoza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mauricio Guillermo Lepe Melgoza's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINEC ASSET MANAGEMENT

FINEC ASSET MANAGEMENT

FINEC ASSET MANAGEMENT

Primary Firm SEC Registration

FINEC ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 10/27/2015

Current Firm

FINEC ASSET MANAGEMENT

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINEC ASSET MANAGEMENT

TRUST BUT VERIFY

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