Jorge A. Aranguren
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.
Jorge Alberto Aranguren was a registered financial professional .
Jorge is a previously registered financial professional and started their career in finance in 1985. Jorge had worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2019 - May 29, 2020
ONESEVEN
August 9, 2010 - February 3, 2017
WELLS FARGO CLEARING SERVICES, LLC
August 4, 2010 - February 3, 2017
WELLS FARGO CLEARING SERVICES, LLC
May 2, 2009 - August 4, 2010
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - August 4, 2010
CHASE INVESTMENT SERVICES CORP.
July 7, 2005 - May 2, 2009
WAMU INVESTMENTS, INC.
July 6, 2005 - May 2, 2009
WAMU INVESTMENTS, INC.
December 1, 2000 - July 8, 2005
WELLS FARGO CLEARING SERVICES, LLC
November 30, 2000 - July 8, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 17, 2000 - November 29, 2000
METROPOLITAN LIFE INSURANCE COMPANY
October 17, 2000 - November 29, 2000
MSI FINANCIAL SERVICES, INC.
September 1, 1999 - October 13, 2000
R.K. GRACE & COMPANY
April 7, 1994 - July 27, 1999
PFS INVESTMENTS INC.
September 20, 1993 - March 15, 1994
OSAIC FS, INC.
July 19, 1993 - October 13, 1993
TOWER SQUARE SECURITIES, INC.
October 19, 1987 - October 2, 1990
TOWER SQUARE SECURITIES, INC.
July 22, 1985 - September 9, 1986
MONEY CONCEPTS CAPITAL CORP
Primary Firm SEC Registration
ONESEVEN
CRD#: 283087 / SEC#: 801-107829
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
Current Firm
ONESEVEN
CRD#: 283087 / SEC#: 801-107829
Contact information
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,846 |
| AUM (Assets Under Management) | $ 4,848,322,209 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/22/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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