Alex De Leon

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CRD#: 7215018

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.

Alex De Leon was a registered financial professional .

Alex is a previously registered financial professional and started their career in finance in 2020. Alex had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

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)

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

June 16, 2023 - February 3, 2025

MOSAIC ADVISORS

RIA

CRD#: 164913

HOUSTON, TX

Past

October 12, 2020 - May 16, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHICAGO, IL

Past

August 3, 2020 - May 16, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHICAGO, IL

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".

MOSAIC ADVISORS

MOSAIC | MOSAIC ADVISORS, LLC | MOSAIC ADVISORS LLC | MOSAIC ADVISORS

CRD#: 164913 / SEC#: 801-99369

RIA

Registered Investment Advisory firm - (6/10/2015 Approved)

Texas

Registered Investment Advisory firm - (6/12/2015 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

IAR

Series 66

Date: 10/10/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/1/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/31/2020

Securities Industry Essentials Examination

Current Firm

MOSAIC ADVISORS

MOSAIC | MOSAIC ADVISORS, LLC | MOSAIC ADVISORS LLC | MOSAIC ADVISORS

CRD#: 164913 / SEC#: 801-99369

RIA

Registered Investment Advisory firm - (6/10/2015 Approved)

Texas

Registered Investment Advisory firm - (6/12/2015 Terminated)

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Contact information

Main Address

3773 Richmond Avenue Suite 700, Houston, TX 77046

Mailing Address

Phone number

(713) 980-4100

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

MOSAIC ADVISORS FORM ADV PART 2 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	214
AUM (Assets Under Management)	$ 499,449,089

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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Firm Stability Insights

Alex De Leon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MOSAIC ADVISORS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

MOSAIC ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 10/10/2020

Series 7TO

Date: 8/1/2020

SIE

Date: 1/31/2020

Current Firm

MOSAIC ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MOSAIC ADVISORS

TRUST BUT VERIFY

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