Oscar R. Flores

MONEX ASSET MANAGEMENT

Houston, TX 77002

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CRD#: 861991

Professional summary

Oscar R Flores is a registered financial advisor currently at MONEX ASSET MANAGEMENT, INC. located in Houston, Texas and MONEX SECURITIES, INC. located in San Antonio, Texas.

Oscar is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Oscar has worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

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.

1) MONEX ASSET MANAGEMENT,INC. - YES INVESTMENT RELATED - SAN ANTONIO,TX. - INVESTMENT ADVISER - INSURANCE BROKER/ANALYST - 04/2015 - 40 HRS/MONTH - 40 TRADING HRS/MONTH - SALE OF INSURANCE PRODUCTS AND CLIENT PORTFOLIO.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Oscar R Flores'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

April 10, 2019 - Present

MONEX ASSET MANAGEMENT, INC.

Office #1: 440 Louisiana Street Suite 1240, Houston, TX 77002Office #2: 18756 Stone Oak Parkway Suite 200, San Antonio, TX 78258

RIA

CRD#: 148123

Houston, TX

Current

April 7, 2015 - Present

MONEX SECURITIES, INC.

Office #1: 18756 Stone Oak Parkway Suite 266, San Antonio, TX 78258

CRD#: 30362

San Antonio, TX

Past

April 7, 2015 - December 31, 2015

MONEX ASSET MANAGEMENT, INC.

RIA

CRD#: 148123

SAN ANTONIO, TX

Past

January 13, 2012 - May 1, 2015

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

SAN ANTONIO, TX

Past

January 13, 2012 - May 1, 2015

HILLTOP SECURITIES INC.

CRD#: 6220

SAN ANTONIO, TX

Past

May 25, 2007 - January 17, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN ANTONIO, TX

Past

May 25, 2007 - January 17, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN ANTONIO, TX

Past

June 1, 1998 - June 14, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN ANTONIO, TX

Past

June 1, 1998 - June 14, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN ANTONIO, TX

Past

October 18, 1994 - June 26, 1998

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 28, 1993 - October 24, 1994

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

SAN ANTONIO, TX

Past

February 1, 1979 - June 4, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

MONEX ASSET MANAGEMENT, INC.

CRD#: 148123 / SEC#: 801-120366

RIA

Registered Investment Advisory firm - (2/22/2021 Approved)

California

Registered Investment Advisory firm - (3/25/2021 Terminated)

Texas

Registered Investment Advisory firm - (2/23/2021 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

California
(12/11/2019)

Texas
(4/7/2015)

IAR

Texas
(4/10/2019)

Washington
(9/9/2021)

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

Series 63

Date: 4/4/2002

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/8/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/20/1979

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MONEX ASSET MANAGEMENT, INC.

CRD#: 148123 / SEC#: 801-120366

RIA

Registered Investment Advisory firm - (2/22/2021 Approved)

California

Registered Investment Advisory firm - (3/25/2021 Terminated)

Texas

Registered Investment Advisory firm - (2/23/2021 Terminated)

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Contact information

Main Address

440 Louisiana Street Suite 1240, Houston, TX 77002

Mailing Address

Phone number

(713) 877-8234

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

FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	528
AUM (Assets Under Management)	$ 386,314,126

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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Advisor Monitoring

Firm Stability Insights

Oscar R. Flores

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Oscar R Flores's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONEX SECURITIES, INC.

MONEX ASSET MANAGEMENT, INC.

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

INVESTMENT PROFESSIONALS, INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

MONEX ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/4/2002

Series 65

Date: 2/8/1993

SIE

Date: 10/1/2018

Series 7

Date: 1/20/1979

FINRA

Current Firm

MONEX ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MONEX ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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