Luis Osawa Guerrero

MONEX ASSET MANAGEMENT

Houston, TX 77002

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CRD#: 6958307

Professional summary

Luis Osawa Guerrero, who also goes by Luis Nmn Osawa Guerrero, is a registered financial advisor currently at MONEX ASSET MANAGEMENT, INC. located in Houston, Texas and MONEX SECURITIES, INC. located in Houston, Texas.

Luis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Luis has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Luis Nmn Osawa Guerrero

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 Luis Osawa Guerrero'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

May 17, 2022 - Present

MONEX ASSET MANAGEMENT, INC.

Office #1: 440 Louisiana Street Suite 1240, Houston, TX 77002

RIA

CRD#: 148123

Houston, TX

Current

August 30, 2021 - Present

MONEX SECURITIES, INC.

Office #1: 440 Louisiana Street, Suite 1240, Houston, TX 77002

CRD#: 30362

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".

MONEX ASSET MANAGEMENT, INC.

CRD#: 148123 / SEC#: 801-120366

RIA

Registered Investment Advisory firm - (2/22/2021 Approved)

California

Registered Investment Advisory firm - (3/25/2021 Terminated)

Texas

Registered Investment Advisory firm - (2/23/2021 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

California
(8/8/2022)

Delaware
(8/8/2022)

Florida
(10/19/2022)

Nevada
(8/8/2022)

New Jersey
(10/18/2022)

New York
(8/8/2022)

Texas
(2/3/2022)

IAR

Texas
(5/17/2022)

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

Exams

State Security Law Exam

IAR

Series 66

Date: 2/2/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/30/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/24/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

MONEX ASSET MANAGEMENT, INC.

CRD#: 148123 / SEC#: 801-120366

RIA

Registered Investment Advisory firm - (2/22/2021 Approved)

California

Registered Investment Advisory firm - (3/25/2021 Terminated)

Texas

Registered Investment Advisory firm - (2/23/2021 Terminated)

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Contact information

Main Address

440 Louisiana Street Suite 1240, Houston, TX 77002

Mailing Address

Phone number

(713) 877-8234

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

FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	528
AUM (Assets Under Management)	$ 386,314,126

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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Luis Osawa Guerrero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Osawa Guerrero's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONEX ASSET MANAGEMENT, INC.

MONEX SECURITIES, INC.

Primary Firm SEC Registration

MONEX ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/2/2022

Series 7TO

Date: 8/30/2021

SIE

Date: 2/24/2021

FINRA

Current Firm

MONEX ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MONEX ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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