Hugo E. Urrea
Professional summary
Hugo Edgardo Urrea was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Hugo is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Hugo had worked at 8 firms, which includes HATTIER SANFORD & REYNOIR A LIMITED PARTNERSHIP L.L.P., MORGAN KEEGAN & COMPANY LLC, SCHARFF & JONES INC., PRUDENTIAL EQUITY GROUP LLC, THOMSON MCKINNON SECURITIES INC., UBS FINANCIAL SERVICES INC., LOWRY FINANCIAL SERVICES CORPORATION, CARDELL & ASSOCIATES INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 1994 - April 10, 2006
HATTIER, SANFORD & REYNOIR, A LIMITED PARTNERSHIP, L.L.P.
November 26, 1990 - May 4, 1994
MORGAN KEEGAN & COMPANY, LLC
October 9, 1990 - November 26, 1990
SCHARFF & JONES, INC.
September 15, 1989 - October 3, 1990
PRUDENTIAL EQUITY GROUP, LLC
May 30, 1989 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
January 15, 1986 - April 3, 1989
UBS FINANCIAL SERVICES INC.
August 17, 1984 - January 21, 1986
LOWRY FINANCIAL SERVICES CORPORATION
April 5, 1984 - August 6, 1984
CARDELL & ASSOCIATES, INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
HATTIER, SANFORD & REYNOIR, A LIMITED PARTNERSHIP, L.L.P.
CRD#: 2148 / SEC#: , 8-8201
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Civil Event | 1 |
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