Elena I. Flores
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Elena Isabel Flores, who also goes by Elena I Flores, Elena Isabel Floresgonzalez, was a registered financial professional .
Elena is a previously registered financial professional and started their career in finance in 1983. Elena had worked at 4 firms and has passed the SIE and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2014 - November 2, 2017
NATIONWIDE PLANNING ASSOCIATES INC.
February 15, 2005 - June 24, 2013
MML INVESTORS SERVICES, LLC
February 25, 1994 - February 19, 2003
VERAVEST INVESTMENTS, INC.
April 29, 1986 - May 11, 1992
VERAVEST INVESTMENTS, INC.
June 19, 1983 - March 12, 1985
AETNA LIFE INSURANCE AND ANNUITY COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 2/23/1980
Non-Member General Securities ExaminationCurrent Firm
NATIONWIDE PLANNING ASSOCIATES INC.
CRD#: 31029 / SEC#: , 8-45310
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
