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ES

Emilio A. Soto

MONEX ASSET MANAGEMENT
Houston, TX 77002
Some features on this profile are disabled
CRD#: 7073741
ES

Professional summary

Emilio Aleko Soto is a registered financial advisor currently at MONEX ASSET MANAGEMENT, INC. located in Houston, Texas and MONEX SECURITIES, INC. located in Houston, Texas.

Emilio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Emilio has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 4 and Series 24 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 Emilio Aleko Soto'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

July 25, 2023 - Present

MONEX ASSET MANAGEMENT, INC.

Office #1: 440 Louisiana Street Suite 1240, Houston, TX 77002
RIA
CRD#: 148123
Houston, TX
Current

January 26, 2022 - Present

MONEX SECURITIES, INC.

Office #1: 440 Louisiana Street, Suite 1240, Houston, TX 77002
BD
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".
MA
MONEX ASSET MANAGEMENT, INC.
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)

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.
RR
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

RR
Texas
(5/10/2023)
IAR
Texas
(7/25/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/16/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/9/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/25/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/14/2021
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/28/2025
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/18/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MA
MONEX ASSET MANAGEMENT, INC.
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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
20

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (12/18/2025)

Regulatory assets under management

Total Number of Accounts547
AUM (Assets Under Management)$ 556,823,051

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.

Company Information

MONEX ASSET MANAGEMENT, INC.

CRD#: 148123Houston, TX 77002

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