Arthur Flores

Employer firm

Origin Investment Advisory LLC CRD 305353

$34.7M regulatory AUM 6,221 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers

Origin Investment Advisory Llc

Sarasota, FL • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-11-02

NY RA
APPROVED

Since 2021-11-02

Branch Locations

800 Third Ave Suite 2800, New York, NY 10022 • United States

Sarasota, FL • United States

Flores Wealth Planning, Llc

48 Wall Street Suite 1100, New York, NY 10005 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-06

NY RA
APPROVED

Since 2021-04-06

Branch Locations

800 Third Avenue #2800, New York, NY 10022 • United States

New York, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Flores Wealth Planning	New. York	NY	10/2014	Present
Origin Financial Llc	San Francisco	CA	10/2021	Present

10/2014 → Present

Flores Wealth Planning

New. York, NY
10/2021 → Present

Origin Financial Llc

San Francisco, CA

Previous Registrations

2010-02-22 → 2011-08-16

Morgan Stanley

Purchase, NY

Other Businesses

2012 - PRESENT: ZEIDERS ENTERPRISES / NOT INVESTMENT RELATED / WOODBRIDGE, VA / HUMAN SERVICES SOLUTIONS FOR MILITARY & VETERANS / PART-TIME FAMILY LIFE & PERSONAL FINANCE COUNSELOR (REMOTE) / INVOLVES UP TO 50% TIME EACH MONTH, INCLUDING DURING MARKET HOURS Flores Wealth Planning; Investment-Related; New York, NY; Investment Adviser; Investment Adviser Representative; 10/2014; Approx. 150 hours/month; Approx. 150 hours/month during trading hours; Provide investment advice and/or financial planning.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-05-17

S66 Uniform Combined State Law Examination

2008-05-17

Designations

Certified Financial Planner

View on SEC IAPD