Hope N. Garza

STONEWATER WEALTH MANAGEMENT

Corpus Christi, TX 78411

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CRD#: 7159990

Professional summary

Hope N Garza, who also goes by Hope N Sharp, is a registered financial advisor currently at STONEWATER WEALTH MANAGEMENT, INC. located in Corpus Christi, Texas.

Hope is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Hope has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hope N Sharp

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 Hope N Garza'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

August 30, 2022 - Present

STONEWATER WEALTH MANAGEMENT, INC.

Office #1: 4639 Corona Drive #9, Corpus Christi, TX 78411

RIA

CRD#: 164953

Corpus Christi, TX

Past

January 18, 2020 - March 23, 2022

STONEWATER WEALTH MANAGEMENT, INC.

RIA

CRD#: 164953

CORPUS CHRISTI, TX

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
(8/30/2022)

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 65

Date: 1/18/2020

Uniform Investment Adviser Law Examination

Current Firm

STONEWATER WEALTH MANAGEMENT, INC.

CRD#: 164953 / SEC#: 801-112490

RIA

Registered Investment Advisory firm - (3/23/2022 Terminated)

Colorado

Registered Investment Advisory firm - (12/3/2014 Terminated)

North Carolina

Registered Investment Advisory firm - (6/2/2015 Terminated)

Texas

Registered Investment Advisory firm - (6/15/2022 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

4639 Corona Dr Ste 9, Corpus Christi, TX 78411

Mailing Address

Phone number

(361) 482-0699

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	397
AUM (Assets Under Management)	$ 36,853,161

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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Hope N. Garza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hope N Garza's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEWATER WEALTH MANAGEMENT, INC.

STONEWATER WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/18/2020

Current Firm

STONEWATER WEALTH MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STONEWATER WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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