Antonio S. Bauza

STONECREST ADVISORS

AUSTIN, TX 78701-4666

Some features on this profile are disabled

CRD#: 860146

Professional summary

Antonio Salvador Bauza, who also goes by Antonio S Bauza, is a registered financial advisor currently at STONECREST ADVISORS, INC. located in Austin, Texas and STONECREST CAPITAL MARKETS, INC. located in Coral Gables, Florida.

Antonio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Antonio has worked at 17 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Antonio S Bauza

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.

1. Name: Stonecrest Advisors; Investment related: Yes; Address: 4000 Ponce de Leon Blvd. Coral Gables, FL 33146; Nature: Investment Adviser; Position: Investment Adviser; Start Date: 08/17; Hours/month: 20; During Trading Hours: 20; Duties: Investment Adviser

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Antonio Salvador Bauza'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 11, 2017 - Present

STONECREST ADVISORS, INC.

Office #1: 300 West 6th Street Suite 1550, Austin, TX 78701-4666Office #2: 4000 Ponce De Leon Blvd 470, Coral Gables, FL 33146

RIA

CRD#: 142095

AUSTIN, TX

Current

May 16, 2017 - Present

STONECREST CAPITAL MARKETS, INC.

Office #1: 4000 Ponce De Leon Blvd Suite 470, Coral Gables, FL 33146

CRD#: 39616

Coral Gables, FL

Past

July 31, 2015 - May 5, 2017

AEGIS CAPITAL CORP.

RIA

CRD#: 15007

CORAL GABLES, FL

Past

June 17, 2015 - May 5, 2017

AEGIS CAPITAL CORP.

CRD#: 15007

CORAL GABLES, FL

Past

August 31, 2012 - June 17, 2015

CAPITAL GUARDIAN, LLC

CRD#: 137919

MIAMI, FL

Past

May 9, 2012 - May 3, 2017

RIWM, LLC

RIA

CRD#: 160536

CORAL GABLES, FL

Past

January 10, 2011 - August 31, 2012

INSIGNEO SECURITIES, LLC

CRD#: 29249

MIAMI, FL

Past

July 8, 2010 - September 6, 2012

REHMANN WEALTH

RIA

CRD#: 123047

MIAMI, FL

Past

April 16, 2010 - January 12, 2011

OSAIC WEALTH, INC.

CRD#: 23131

MIAMI, FL

Past

January 15, 2008 - April 20, 2010

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

MIAMI, FL

Past

January 9, 2008 - April 20, 2010

OPPENHEIMER & CO. INC.

CRD#: 249

MIAMI, FL

Past

June 3, 2002 - December 12, 2007

UBS INTERNATIONAL INC.

RIA

CRD#: 107726

CORAL GABLES, FL

Past

June 3, 2002 - December 12, 2007

UBS INTERNATIONAL INC.

CRD#: 107726

CORAL GABLES, FL

Past

September 8, 2000 - June 1, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CORAL GABLES, FL

Past

September 8, 2000 - June 3, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 22, 1996 - September 12, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 12, 1994 - May 29, 1996

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

July 31, 1993 - July 22, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 11, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 18, 1988 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

April 17, 1984 - April 5, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

June 27, 1979 - April 4, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

December 1, 1978 - July 21, 1979

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

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".

STONECREST ADVISORS, INC.

CRD#: 142095 / SEC#: 801-128386

RIA

Registered Investment Advisory firm - (7/21/2023 Approved)

California

Registered Investment Advisory firm - (6/7/2019 Terminated)

District of Columbia

Registered Investment Advisory firm - (8/7/2023 Terminated)

Florida

Registered Investment Advisory firm - (8/7/2023 Terminated)

New Jersey

Registered Investment Advisory firm - (8/10/2023 Terminated)

New York

Registered Investment Advisory firm - (8/7/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/7/2023 Terminated)

Puerto Rico

Registered Investment Advisory firm - (8/7/2023 Terminated)

Texas

Registered Investment Advisory firm - (8/7/2023 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(5/16/2017)

IAR

Florida
(8/11/2017)

Puerto Rico
(7/25/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/11/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/26/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/1978

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

STONECREST ADVISORS, INC.

CRD#: 142095 / SEC#: 801-128386

RIA

Registered Investment Advisory firm - (7/21/2023 Approved)

California

Registered Investment Advisory firm - (6/7/2019 Terminated)

District of Columbia

Registered Investment Advisory firm - (8/7/2023 Terminated)

Florida

Registered Investment Advisory firm - (8/7/2023 Terminated)

New Jersey

Registered Investment Advisory firm - (8/10/2023 Terminated)

New York

Registered Investment Advisory firm - (8/7/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/7/2023 Terminated)

Puerto Rico

Registered Investment Advisory firm - (8/7/2023 Terminated)

Texas

Registered Investment Advisory firm - (8/7/2023 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

300 West 6th Street Suite 1550, Austin, TX 78701-4666

Mailing Address

Phone number

(866) 342-1069

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCAI-APPENDIX 1-WRAP BROCHURE-2025_02 (4/15/2025)

SCAI-FIRM BROCHURE-2025_02 (4/15/2025)

Regulatory assets under management

Total Number of Accounts	383
AUM (Assets Under Management)	$ 155,297,658

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

Steven Gallegos

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Eric Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Jeffrey Weeks

ATX PORTFOLIO ADVISORS, LLC

IAR

Austin, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Antonio S. Bauza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Antonio Salvador Bauza's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONECREST CAPITAL MARKETS, INC.

AEGIS CAPITAL CORP.

AEGIS CAPITAL CORP.

CAPITAL GUARDIAN, LLC

RIWM, LLC

INSIGNEO SECURITIES, LLC

REHMANN WEALTH

OSAIC WEALTH, INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

UBS INTERNATIONAL INC.

UBS INTERNATIONAL INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHASE INVESTMENT SERVICES CORP.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BLYTH EASTMAN DILLON & CO. INCORPORATED

Primary Firm SEC Registration

STONECREST ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/11/1997

Series 63

Date: 3/26/1990

SIE

Date: 10/1/2018

Series 7

Date: 11/18/1978

FINRA

Current Firm

STONECREST ADVISORS, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STONECREST ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors