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RIA / WealthAdvisorCertified Financial Planner20 years in industry

ALBERT G FLORES

Advisor at ARAX ADVISORY PARTNERS

Greenwood Village, CO | NEW YORK, NY

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Search this name across graphsid dfx:ria:fa349de6-cfd9-9302-fac4-c7f732000db5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 19, 2006 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: ARAX ADVISORY PARTNERS
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 24, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Aug 24, 2006
First registration: Oct 19, 2006
Dual registered: no
Other names: ALBERT GILBERT FLORES
IAPD individual key: 5175185

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
ARAX ADVISORY PARTNERS	Bd affiliated wealth	Dec 14, 2015	n/a	yes	NEW YORK, NY\|Greenwood Village, CO	Current employment
SEAL FINANCIAL SERVICES, INC.	Former SEC adviser	Oct 20, 2011	Feb 9, 2015	no	DENVER, CO	Previous registration
GENEOS WEALTH MANAGEMENT, INC.	Bd affiliated wealth	Sep 1, 2011	Sep 1, 2011	no	DENVER, CO	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 28, 2008	Sep 13, 2011	no	ENGLEWOOD, CO\|ENGLEWOOD, CO	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Oct 19, 2006	Nov 13, 2007	no	CHEYENNE, WY	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
SEAL FINANCIAL SERVICES, INC.	ARAX ADVISORY PARTNERS	Feb 9, 2015	Dec 14, 2015	308	Firm change	Other
CHARLES SCHWAB & CO., INC.	GENEOS WEALTH MANAGEMENT, INC.	Sep 13, 2011	Sep 1, 2011	-12	Firm change	Other
GENEOS WEALTH MANAGEMENT, INC.	SEAL FINANCIAL SERVICES, INC.	Sep 1, 2011	Oct 20, 2011	49	Firm change	Other
RBC CAPITAL MARKETS, LLC	CHARLES SCHWAB & CO., INC.	Nov 13, 2007	Jan 28, 2008	76	Firm change	Ibd to ibd

Relationships

Registered with (5)

→ ARAX ADVISORY PARTNERSRegistered adviserregistration: current employment
Dec 14, 2015 to presentfactForm ADV
→ SEAL FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2011 to Feb 9, 2015factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jan 28, 2008 to Sep 13, 2011factForm ADV
→ GENEOS WEALTH MANAGEMENT, INC.Registered adviserregistration: previous registration
Sep 1, 2011 to Sep 1, 2011factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Oct 19, 2006 to Nov 13, 2007factForm ADV

Dated events

No dated event names this entity yet.