GBM WEALTH MANAGEMENT, INC. of HOUSTON, TX is an SEC-registered investment adviser (CRD 145049). Regulatory assets under management: $346.4M.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Raymundo Cobo Avila | PRESIDENT | — |
| Pamela Reynoso | CHIEF COMPLIANCE OFFICER | — |
| Samantha Marie Eaton | PRINCIPAL | — |
| Jose Roberto Macouzet | CHIEF EXECUTIVE OFFICER | — |
| MACOUZET JOSE ROBERTO | CHIEF EXECUTIVE OFFICER; PRESIDENT; PRESIDENT/CHIEF COMPLIANCE OFFICER (+1 more) | — |
| REYNOSO PAMELA | CHIEF COMPLIANCE OFFICER | — |
| EATON JANET MARIE | CHIEF COMPLIANCE OFFICER; PRINCIPAL | — |
| COBO AVILA RAYMUNDO | PRESIDENT; PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-12-21 | regulatory | IT FAILED TO ESTABLISH AND IMPLEMENT AN ANTI-MONEY LAUNDERING (AML) PROGRAM THAT COULD REASONABLY BE EXPECTED TO DETECT AND CAUSE THE REPORTING OF SUSPICIOUS ACTIVITY. | Final | $250K |
| 2017-09-28 | regulatory | THE FIRM FAILED TO TRANSMIT REPORTABLE ORDER EVENTS (ROES) TO ORDER AUDIT TRAIL SYSTEM (OATS). | Final | $15K |