Luis M. Cespedes
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.
Luis Miguel Cespedes, who also goes by Luis Miguel Cespepes, was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 1988. Luis had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2007 - July 6, 2007
AFA FINANCIAL GROUP, LLC
October 8, 2001 - June 28, 2007
BROOKSTREET SECURITIES CORPORATION
May 27, 1994 - October 12, 2001
A. G. EDWARDS & SONS, INC.
November 16, 1989 - May 31, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 16, 1989 - May 31, 1994
SIGNATOR INVESTORS, INC.
April 17, 1989 - June 20, 1989
JERSEY CAPITAL MARKETS GROUP INC.
December 20, 1988 - October 2, 1989
F.D. ROBERTS SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AFA FINANCIAL GROUP, LLC
CRD#: 127648 / SEC#: , 8-66026
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
