Cesar Munoz Velez
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.
Cesar Munoz Velez, who also goes by Cesar Munoz, was a registered financial professional .
Cesar is a previously registered financial professional and started their career in finance in 2007. Cesar had worked at 6 firms and has passed the Series 65, Series 66, Series 52TO, Series 62, Series 79TO, SIE, Series 7, Series 14, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2024 - September 19, 2025
FSAM LLC
November 27, 2024 - September 19, 2025
FIRST SOUTHERN, LLC
September 4, 2024 - November 25, 2024
INSIGNEO ADVISORY SERVICES, LLC
January 12, 2024 - November 25, 2024
INSIGNEO SECURITIES, LLC
February 11, 2009 - December 31, 2023
RD CAPITAL GROUP, INC.
January 30, 2008 - February 29, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
November 13, 2007 - February 29, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
FSAM LLC
CRD#: 287851 / SEC#: 801-122054
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 52TO
Date: 10/30/2024
Municipal Securities Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
FSAM LLC
CRD#: 287851 / SEC#: 801-122054
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 165 |
| AUM (Assets Under Management) | $ 112,853,411 |
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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