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San Antonio, TX • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-04-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Usaa Investment Management Company | San Antonio | TX | 08/2015 | 11/2017 |
| Usaa Investment Management Company | San Antonio | TX | 08/2015 | 11/2017 |
| Sendero Securities, Llc | San Antonio | TX | 04/2018 | 03/2019 |
| Sendero Wealth Management, Llc | San Antonio | TX | 04/2018 | 03/2019 |
| Boston Scientific | Valencia | CA | 11/2017 | 04/2018 |
| Carofin, Llc | Brevard | NC | 09/2019 | Present |
| Unemployed | San Antonio | TX | 03/2019 | 09/2019 |
| Aquifer Asset Management, Llc | San Antonio | TX | 02/2021 | Present |
| Carolina Financial Securities, Llc | Brevard | NC | 09/2022 | Present |
Aquifer Asset Management, LLC. The activity is investment-related. The address is 6 Stonewall Bend, San Antonio, TX 78256. The business is an investment advisory business. My position is investment advisor representative to retail and high-net-worth individuals on a fee-for-service basis. The start date is Feb. 2021. The approximate number of hours/month devoted to this activity is 10 hours/month outside security trading hours. I will be an investment advisor representative to retail individuals and high-net-worth individuals on a fee-for-services basis (billed quarterly). I will manage clients' investments and advise clients on an on-going basis to buy, sell, or hold investments that fall within the realm for publicly or privately traded securities products. I will not take custody of client accounts nor will I have access to move funds from their custodian to external banks accounts of any kind. I will merely be granted trading authority at their custodian of choice. This authority will strictly grant me the power to actively trade securities within respective client accounts. Carolina Financial Securities, LLC. Investment-related. Address 100 Elks Club Road, Brevard, NC 28712. Carolina Financial Securities, LLC is an affiliated broker-dealer. I am a General Securities Representative. The start date is September 2022. The number of hours devoted to the activity per month is 80 hours all during trading hours. My duties include selling private securities offerings. Garrick G. Ruiz is a licensed General Lines (Life, Accident, Health and HMO) Agent in Texas. He spends no time on this activity.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 2008-09-26 |
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