Sylvia B. Perez
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.
Sylvia Bonin Perez was a registered financial advisor .
Sylvia is a previously registered financial advisor and started their career in finance in 1986. Sylvia had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2014 - July 24, 2019
J.W. COLE FINANCIAL, INC.
December 1, 2010 - November 3, 2014
DALTON STRATEGIC INVESTMENT SERVICES INC.
October 13, 2005 - April 20, 2009
FIRST MIDWEST SECURITIES, INC.
June 13, 2002 - September 8, 2010
FIRST MIDWEST SECURITIES, INC.
April 19, 2000 - June 20, 2002
AMERICAN INVESTMENT SERVICES, INC.
May 29, 1996 - March 22, 2000
LOCUST STREET SECURITIES, INC.
October 8, 1986 - May 17, 1996
METROPOLITAN LIFE INSURANCE COMPANY
October 8, 1986 - May 17, 1996
MSI FINANCIAL SERVICES, INC.
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
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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.
