Ricardo Perusquia
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.
Ricardo Perusquia was a registered financial professional .
Ricardo is a previously registered financial professional and started their career in finance in 1987. Ricardo had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7 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
January 3, 2008 - April 7, 2020
GFS ADVISORS LLC
July 12, 1994 - August 5, 2008
GLOBAL FINANCIAL SERVICES, L.L.C.
July 12, 1994 - April 7, 2020
GLOBAL FINANCIAL SERVICES, L.L.C.
February 24, 1988 - July 14, 1994
KIDDER, PEABODY & CO. INCORPORATED
December 22, 1987 - March 7, 1988
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
GFS ADVISORS LLC
CRD#: 143110 / SEC#: 801-67899
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 55
Date: 9/19/2000
Limited Representative-Equity Trader ExamCurrent Firm
GFS ADVISORS LLC
CRD#: 143110 / SEC#: 801-67899
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 3,268,787,765 |
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.
