Raul Henriquez
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.
Raul Henriquez JR, who also goes by Raul (nmn) Henriquez Jr, Raul Henriquez, Raul Henriquez-marroquin, was a registered financial professional .
Raul is a previously registered financial professional and started their career in finance in 1987. Raul had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 27, Series 28 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
July 24, 2008 - January 29, 2010
PUMA CAPITAL, LLC
October 31, 1991 - March 16, 2016
INSIGNEO SECURITIES, LLC
August 30, 1990 - October 31, 1991
HENCORP, INC.
February 23, 1990 - April 17, 1990
ARISTO INVESTMENTS OF AMERICA, INC.
May 6, 1987 - August 31, 1988
REFCO SECURITIES, LLC
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 28
Date: 9/4/1990
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
PUMA CAPITAL, LLC
CRD#: 146744 / SEC#: , 8-67849
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
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.
