Raul S. Aguilar
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 S Aguilar was a registered financial professional .
Raul is a previously registered financial professional and started their career in finance in 1973. Raul had worked at 8 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 1996 - December 3, 2003
IFS SECURITIES
July 12, 1985 - August 22, 1996
BUETER AND COMPANY, INC.
March 23, 1978 - July 22, 1985
HEFREN-TILLOTSON, INC.
November 30, 1977 - April 27, 1978
MANAGED INVESTMENTS, INC.
April 7, 1977 - May 16, 1978
PRICE, ALLEN & STEVENS SECURITIES CORP
May 1, 1973 - May 25, 1977
AMERICAN EXPRESS FINANCIAL CORPORATION
May 1, 1973 - May 25, 1977
AMERIPRISE FINANCIAL SERVICES, LLC
May 1, 1973 - May 25, 1977
IDS LIFE INSURANCE COMPANY
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 1
Date: 4/19/1973
Registered Representative ExaminationCurrent Firm
IFS SECURITIES
CRD#: 40375 / SEC#: , 8-49020
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Financial | 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.
