Juan Chavez

TLWM FINANCIAL

San Antonio, TX 78216

Some features on this profile are disabled

CRD#: 6599943

Professional summary

Juan Chavez Jr, who also goes by John Chavez, Johnny Chavez, Juan Chavez Jr, Juan Chavez, is a registered financial advisor currently at TLWM FINANCIAL located in San Antonio, Texas and LPL FINANCIAL LLC located in San Antonio, Texas.

Juan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Juan has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Chavez | Johnny Chavez | Juan Chavez Jr | Juan Chavez

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.

1) 06/06/2024 - TLWM Financial - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 2) 06/20/2024 - TLWM Financial - Registered Investment Advisor DBA - Advisor - Investment Related - At Reported Business Location(s) - Start Date 6/10/2024 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through TLWM, LLC, an independent investment advisor firm. I started this business activity in 6/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juan Chavez Jr'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 11, 2024 - Present

TLWM FINANCIAL

Office #1: 40 Ne Loop 410 Suite 630, San Antonio, TX 78216

RIA

CRD#: 158305

San Antonio, TX

Current

June 10, 2024 - Present

LPL FINANCIAL LLC

Office #1: 40 Ne Loop 410 Ste 644, San Antonio, TX 78216

RIA

CRD#: 6413

San Antonio, TX

Past

November 1, 2021 - June 7, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Converse, TX

Past

November 1, 2021 - June 7, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

San Antonio, TX

Past

August 20, 2019 - October 26, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN ANTONIO, TX

Past

August 20, 2019 - October 26, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN ANTONIO, TX

Past

January 8, 2018 - August 5, 2019

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

SAN ANTONIO, TX

Past

February 9, 2017 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

SAN ANTONIO, TX

Past

February 9, 2017 - August 5, 2019

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

SAN ANTONIO, TX

Past

September 19, 2016 - January 31, 2017

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

SAN ANTONIO, TX

Past

April 29, 2016 - January 31, 2017

J.P. MORGAN SECURITIES LLC

CRD#: 79

SAN ANTONIO, 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".

TLWM FINANCIAL

CRD#: 158305 / SEC#: 801-79214

RIA

Registered Investment Advisory firm - (2/28/2014 Approved)

Texas

Registered Investment Advisory firm - (3/3/2014 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.

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

Texas
(6/10/2024)

IAR

Texas
(6/11/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/16/2016

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: 4/29/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TLWM FINANCIAL

CRD#: 158305 / SEC#: 801-79214

RIA

Registered Investment Advisory firm - (2/28/2014 Approved)

Texas

Registered Investment Advisory firm - (3/3/2014 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

40 Ne Loop 410 Suite 644, San Antonio, TX 78216

Mailing Address

Phone number

+1 (877) 348-8822

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (3/10/2025)

Regulatory assets under management

Total Number of Accounts	2,008
AUM (Assets Under Management)	$ 577,253,765

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.

Similar Advisors

Christopher Hall

LPL FINANCIAL LLC

IAR

San Antonio, TX

Robert Armendariz

EAGLE STRATEGIES LLC

IAR

SAN ANTONIO, TX

Joe-ben O'banion

TITLEIST ASSET MANAGEMENT, LLC

IAR

SAN ANTONIO, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Juan Chavez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juan Chavez Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

TLWM FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 9/16/2016

SIE

Date: 10/1/2018

Series 7

Date: 4/29/2016

FINRA

Current Firm

TLWM FINANCIAL

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TLWM FINANCIAL

TRUST BUT VERIFY

Similar Advisors