Guadalupe R. Alba

Some features on this profile are disabled

CRD#: 720202

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Guadalupe Rafael Alba, who also goes by Lou Alba, Lupe Alba, was a registered financial advisor .

Guadalupe is a previously registered financial advisor and started their career in finance in 1980. Guadalupe had worked at 11 firms and has passed the Series 63, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lou Alba | Lupe Alba

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 25, 2008 - April 2, 2009

SAXONY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 122692

BROOKFIELD, WI

Past

September 25, 2008 - April 2, 2009

SAXONY SECURITIES, INC.

CRD#: 115547

BROOKFIELD, WI

Past

May 30, 2008 - October 2, 2008

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

BROOKFIELD, WI

Past

January 3, 2007 - October 8, 2008

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

BROOKFIELD, WI

Past

December 30, 1992 - January 3, 2007

FFP ADVISORY SERVICES INC

RIA

CRD#: 110778

BROOKFIELD, WI

Past

May 23, 1991 - May 30, 2008

FFP SECURITIES, INC.

CRD#: 16337

BROOKFIELD, WI

Past

March 1, 1990 - May 28, 1991

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

November 19, 1989 - February 28, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

November 20, 1985 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

March 29, 1985 - November 23, 1985

ALL AMERICAN MANAGEMENT CORPORATION

CRD#: 21

Past

December 3, 1980 - April 8, 1985

EQUABLE SECURITIES CORPORATION

CRD#: 7405

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".

SAXONY CAPITAL MANAGEMENT, LLC

CRD#: 122692 / SEC#: 801-68385

RIA

Registered Investment Advisory firm - (10/15/2007 Approved)

Arkansas

Registered Investment Advisory firm - (10/15/2007 Terminated)

California

Registered Investment Advisory firm - (10/15/2007 Terminated)

Connecticut

Registered Investment Advisory firm - (10/15/2007 Terminated)

Florida

Registered Investment Advisory firm - (10/15/2007 Terminated)

Indiana

Registered Investment Advisory firm - (10/24/2005 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/16/2007 Terminated)

Mississippi

Registered Investment Advisory firm - (10/24/2005 Terminated)

Missouri

Registered Investment Advisory firm - (10/15/2007 Terminated)

New Jersey

Registered Investment Advisory firm - (10/24/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (10/15/2007 Terminated)

Ohio

Registered Investment Advisory firm - (10/15/2007 Terminated)

South Carolina

Registered Investment Advisory firm - (11/9/2005 Terminated)

Tennessee

Registered Investment Advisory firm - (5/31/2006 Terminated)

Texas

Registered Investment Advisory firm - (10/15/2007 Terminated)

Utah

Registered Investment Advisory firm - (12/31/2006 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/15/2007 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 12/18/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 6/18/1981

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/1/1980

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/31/1996

General Securities Principal Examination

Current Firm

SAXONY CAPITAL MANAGEMENT, LLC

CRD#: 122692 / SEC#: 801-68385

RIA

Registered Investment Advisory firm - (10/15/2007 Approved)

Arkansas

Registered Investment Advisory firm - (10/15/2007 Terminated)

California

Registered Investment Advisory firm - (10/15/2007 Terminated)

Connecticut

Registered Investment Advisory firm - (10/15/2007 Terminated)

Florida

Registered Investment Advisory firm - (10/15/2007 Terminated)

Indiana

Registered Investment Advisory firm - (10/24/2005 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/16/2007 Terminated)

Mississippi

Registered Investment Advisory firm - (10/24/2005 Terminated)

Missouri

Registered Investment Advisory firm - (10/15/2007 Terminated)

New Jersey

Registered Investment Advisory firm - (10/24/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (10/15/2007 Terminated)

Ohio

Registered Investment Advisory firm - (10/15/2007 Terminated)

South Carolina

Registered Investment Advisory firm - (11/9/2005 Terminated)

Tennessee

Registered Investment Advisory firm - (5/31/2006 Terminated)

Texas

Registered Investment Advisory firm - (10/15/2007 Terminated)

Utah

Registered Investment Advisory firm - (12/31/2006 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/15/2007 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

11152 S Towne Square, Saint Louis, MO 63123

Mailing Address

Phone number

(314) 963-9336

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCM BROCHURE 3.10.25 (3/10/2025)

Regulatory assets under management

Total Number of Accounts	1,307
AUM (Assets Under Management)	$ 297,922,213

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/18/2022	Cover Page	Report

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Guadalupe R. Alba

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SAXONY SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED ADVISORY SERVICES, INC.

FFP ADVISORY SERVICES INC

FFP SECURITIES, INC.

SECURITIES AMERICA, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

ALL AMERICAN MANAGEMENT CORPORATION

EQUABLE SECURITIES CORPORATION

Primary Firm SEC Registration

SAXONY CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/18/1980

Series 7

Date: 9/17/1983

Series 22

Date: 6/18/1981

Series 6

Date: 12/1/1980

Series 24

Date: 10/31/1996

Current Firm

SAXONY CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SAXONY CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors