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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Raul Guadalupe Barcenes

Advisor at J.P. MORGAN SECURITIES LLC

Chicago, IL | San Antonio, TX

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Search this name across graphsid dfx:ria:f501acdb-ad4a-c4cc-0452-00449d91f52b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Nov 22, 2022 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Aug 26, 2022
First registration: Nov 22, 2022
Dual registered: yes, broker-dealer
Other names: Raul Guadalupe Barcenes|Raul G Barcenes
IAPD individual key: 7577429

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	Nov 15, 2024	n/a	yes	Chicago, IL\|San Antonio, TX	Current employment
AIS ASSET MANAGEMENT	State registered	Oct 13, 2023	Nov 5, 2024	no	SAN ANTONIO, TX\|AZUSA, CA	Previous registration
FEFA FINANCIAL	Independent wealth	Jun 30, 2023	Aug 23, 2023	no	San Antonio, TX\|SAINT LOUIS, MO	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Nov 22, 2022	May 18, 2023	no	SAN ANTONIO, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AIS ASSET MANAGEMENT	J.P. MORGAN SECURITIES LLC	Nov 5, 2024	Nov 15, 2024	10	Firm change	Other
FEFA FINANCIAL	AIS ASSET MANAGEMENT	Aug 23, 2023	Oct 13, 2023	51	Firm change	Other
EQUITABLE ADVISORS, LLC	FEFA FINANCIAL	May 18, 2023	Jun 30, 2023	43	Firm change	Ibd to new firm

Relationships

Registered with (4)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Nov 15, 2024 to presentfactForm ADV
→ AIS ASSET MANAGEMENTRegistered adviserregistration: previous registration
Oct 13, 2023 to Nov 5, 2024factForm ADV
→ FEFA FINANCIALRegistered adviserregistration: previous registration
Jun 30, 2023 to Aug 23, 2023factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 22, 2022 to May 18, 2023factForm ADV

Dated events

Occurred
Nov 5, 2024
Advisor changed firm
Raul Guadalupe Barcenes left Ais Asset Management for J.P. Morgan Securities Llc (registered 2024-11-15)
Form ADVobserved 4 days ago
Occurred
Aug 23, 2023
Advisor changed firm
Raul Guadalupe Barcenes left Fefa Financial for Ais Asset Management (registered 2023-10-13)
Form ADVobserved 4 days ago
Occurred
May 18, 2023
Advisor changed firm
Raul Guadalupe Barcenes left Equitable Advisors, Llc for Fefa Financial (registered 2023-06-30)
Form ADVobserved 4 days ago