Juan C. Cardenas
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.
Juan Carlos Cardenas was a registered financial professional .
Juan is a previously registered financial professional and started their career in finance in 1992. Juan had worked at 5 firms and has passed the Series 63, Series 55, 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
August 28, 2012 - February 26, 2013
WESCOM FINANCIAL SERVICES
October 22, 2009 - May 2, 2012
ZECCO TRADING, INC.
September 24, 2008 - December 2, 2008
WESTCAP SECURITIES, INC.
June 26, 1992 - July 20, 2007
ROBERT BRANDT & CO.
May 1, 1992 - May 20, 1992
MORGAN STANLEY DW INC.
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: 10/18/1999
Limited Representative-Equity Trader ExamCurrent Firm
WESCOM FINANCIAL SERVICES
CRD#: 125650 / SEC#: 801-113359, 8-66189
Contact information
FINRA licenses (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,138 |
| AUM (Assets Under Management) | $ 226,085,019 |
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.
