Felton L. Berrios
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.
Felton Lizardo Berrios, who also goes by Felton L Berrios, Felton Berrios, was a registered financial professional .
Felton is a previously registered financial professional and started their career in finance in 1988. Felton had worked at 8 firms and has passed the Series 63, Series 7 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 4, 1996 - July 15, 1997
GRIFFIN FINANCIAL SERVICES
July 11, 1994 - October 28, 1996
BA INVESTMENT SERVICES, INC.
May 23, 1994 - July 24, 1994
INTERFIRST CAPITAL CORPORATION
January 18, 1994 - April 18, 1994
MARKETING ONE SECURITIES, INC.
November 19, 1993 - January 19, 1994
WELLS FARGO SECURITIES INC.
October 2, 1992 - November 19, 1993
MARKETING ONE SECURITIES, INC.
May 17, 1991 - September 21, 1992
AMERICAN GENERAL SECURITIES INCORPORATED
December 4, 1989 - May 22, 1991
CAPITAL BROKERAGE CORPORATION
June 8, 1988 - April 19, 1989
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
GRIFFIN FINANCIAL SERVICES
CRD#: 10823 / SEC#: , 8-28223
Contact information
Documents
Red Flags
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