Ricardo L. Nazario
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 Luis Nazario was a registered financial professional .
Ricardo is a previously registered financial professional and started their career in finance in 1989. Ricardo had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2014 - March 17, 2016
GLOBAL FINANCIAL SERVICES, L.L.C.
May 29, 2014 - March 17, 2016
GFS ADVISORS LLC
November 19, 2012 - March 22, 2024
T.O.S. ADVISORS, LLC
June 1, 2009 - June 14, 2012
MORGAN STANLEY
June 1, 2009 - June 14, 2012
MORGAN STANLEY
June 3, 2002 - June 18, 2009
UBS INTERNATIONAL INC.
June 3, 2002 - June 18, 2009
UBS INTERNATIONAL INC.
October 13, 2000 - June 1, 2002
UBS FINANCIAL SERVICES INC.
October 3, 2000 - June 3, 2002
UBS FINANCIAL SERVICES INC.
October 29, 1990 - October 4, 1991
CITICORP FINANCIAL SERVICES,INC.
May 22, 1989 - July 12, 1990
CITIGROUP GLOBAL MARKETS INC.
March 21, 1989 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
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
GLOBAL FINANCIAL SERVICES, L.L.C.
CRD#: 35699 / SEC#: , 8-46866
Contact information
FINRA licenses (26 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GFS HOLDINGS, LLC | MEMBER | |
| CATHRINER, WILLIAM WALTER II | CHIEF COMPLIANCE OFFICER | 1686950 |
| CHAPA, GERARDO ARTURO | MANAGING DIRECTOR | 1451790 |
| DREPAUL, ROSHNI | FINANCIAL OPERATIONS PRINCIPAL | 6487453 |
| IBARRA, JORGE EDUARDO | CHIEF OPERATING OFFICER | 3079569 |
| MEDRANO, DILIA ELIZABETH | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 4626600 |
| TELLEZ, ALFREDO | SENIOR VICE PRESIDENT & DIRECTOR | 2616322 |
| VILLARREAL GUERRA, VICTOR MANUEL | DIRECTOR | 5310319 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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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