Goel A. Velazquez Rosa

VAUBAN WEALTH MANAGEMENT

GUAYNABO, PR 00969

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CRD#: 7189134

Professional summary

Goel Andres Velazquez Rosa is a registered financial advisor currently at VAUBAN WEALTH MANAGEMENT located in Guaynabo, .

Goel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Goel has worked at 1 firm and has passed the Series 65 exam.

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.

INDEPENDENT CONTRACTOR, CPA PROVIDING ACCOUNTING SERVICES SINCE 05/2018 NOT INVESTMENT RELATED 10 HOURS A MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Goel Andres Velazquez Rosa'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

November 15, 2019 - Present

VAUBAN WEALTH MANAGEMENT

Office #1: Lot K-2 Marginal Street Suite 201 Oasis Gardens Development, Guaynabo, PR 00969

RIA

CRD#: 305222

GUAYNABO, PR

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".

VAUBAN WEALTH MANAGEMENT

CRD#: 305222 / SEC#: 801-117622

RIA

Registered Investment Advisory firm - (11/8/2019 Approved)

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

Puerto Rico
(11/15/2019)

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: 11/15/2019

Uniform Investment Adviser Law Examination

Current Firm

VAUBAN WEALTH MANAGEMENT

CRD#: 305222 / SEC#: 801-117622

RIA

Registered Investment Advisory firm - (11/8/2019 Approved)

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Contact information

Main Address

Lot K-2 Marginal Street Suite 201 Oasis Gardens Development, Guaynabo, PR 00969

Mailing Address

Phone number

1-787-425-0035/0036

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCH 2021 BROCHURE (3/30/2025)

BROCHURE MARCH 2022 (3/30/2025)

BROCHURE MARCH 2025 (3/30/2025)

BROCHURE MARCH 2024 (3/30/2025)

BROCHURE MARCH 2023 (3/30/2025)

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 148,656,126

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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Goel A. Velazquez Rosa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Goel Andres Velazquez Rosa's CRS (Customer Relationship Summary).

Certified licenses

Experience

VAUBAN WEALTH MANAGEMENT

Primary Firm SEC Registration

VAUBAN WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 11/15/2019

Current Firm

VAUBAN WEALTH MANAGEMENT

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VAUBAN WEALTH MANAGEMENT

TRUST BUT VERIFY

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