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Antonio Bauza

Stonecrest Advisors, INC.
47 Years of Experience
Coral Gables, FL
8 DisclosuresBroker
View SEC Summary
View SEC Summary

Antonio Bauza is a registered investment advisor at Stonecrest Advisors, INC., based in Coral Gables, FL, with 47 years of industry experience. Antonio is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 477 clients with $400M in assets under management.

Stonecrest Advisors, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
21 advisors
Number of Clients
477 clients
Average Client Portfolio
$836K average
Assets Under Management
$398.8M

Fee Structure

Minimum Investment:$20K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Fees range from 0.50% up to 2.0% annually and are negotiable depending on individual client circumstances.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

4000 Ponce De Leon Blvd, Suite 470, Coral Gables, FL, 33146

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History

Regulatory History (8)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2023
Settled
Judgment / Lien
January 2022
Judgment / Lien
January 2022
Judgment / Lien
March 2021
Judgment / Lien
February 2020
Customer Dispute
November 2007
Denied
Customer Dispute
June 2006
Denied
Customer Dispute
November 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Antonio is an investment adviser at Stonecrest Advisors since August 2017. This takes about 10-20% of his time, all during trading hours.

Employment History
Current Registrations
Stonecrest Advisors, INC.
August 2017 - Present · 9 yrs 2 mos
Stonecrest Capital Markets, INC.Broker
May 2017 - Present · 9 yrs 5 mos
Previous Registrations
Aegis Capital CORP.
July 2015 - May 2017 · 1 yr 10 mos
Aegis Capital CORP.Broker
June 2015 - May 2017 · 1 yr 11 mos
Capital Guardian, LLCBroker
August 2012 - June 2015 · 2 yrs 10 mos
Riwm, LLC
May 2012 - May 2017 · 5 yrs
Global Investor Services, L.C.Broker
January 2011 - August 2012 · 1 yr 7 mos
Rehmann Financial
July 2010 - September 2012 · 2 yrs 2 mos
Royal Alliance Associates, INC.Broker
April 2010 - January 2011 · 9 mos
Oppenheimer & CO. INC.
January 2008 - April 2010 · 2 yrs 3 mos
Oppenheimer & CO. INC.Broker
January 2008 - April 2010 · 2 yrs 3 mos
UBS International INC.
June 2002 - December 2007 · 5 yrs 6 mos
UBS International INC.Broker
June 2002 - December 2007 · 5 yrs 6 mos
UBS Painewebber INC.Broker
September 2000 - June 2002 · 1 yr 9 mos
UBS Painewebber INC.
September 2000 - June 2002 · 1 yr 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1996 - September 2000 · 4 yrs 4 mos
Chase Manhattan Investment Services, INC.Broker
July 1994 - May 1996 · 1 yr 10 mos
Smith Barney INC.Broker
July 1993 - July 1994 · 1 yr
Lehman Brothers INC.Broker
April 1988 - July 1993 · 5 yrs 3 mos
E. F. Hutton & Company INCBroker
March 1988 - April 1988 · 1 mo
Painewebber IncorporatedBroker
April 1984 - April 1988 · 4 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1979 - April 1984 · 4 yrs 10 mos
Blyth Eastman Dillon & CO. IncorporatedBroker
December 1978 - July 1979 · 7 mos
State Registrations2 states
FLPR
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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