Cesar O. Luzey
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.
Cesar Omar Luzey, who also goes by Cesar Homer, Cesar Omi, Cesar Omar Slomar, was a registered financial professional .
Cesar is a previously registered financial professional and started their career in finance in 1989. Cesar had worked at 15 firms and has passed the Series 63, Series 66, SIE 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
April 16, 2021 - February 16, 2022
USAA INVESTMENT SERVICES COMPANY
June 8, 2020 - February 16, 2022
USAA INVESTMENT SERVICES COMPANY
January 8, 2018 - July 30, 2020
USAA INVESTMENT SERVICES COMPANY
April 3, 2013 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
March 26, 2013 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
September 18, 2009 - April 8, 2011
HARRISDIRECT LLC
May 15, 2008 - April 8, 2011
E*TRADE SECURITIES LLC
November 21, 2005 - August 29, 2006
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
January 19, 2004 - November 22, 2005
BROWNCO, LLC
September 11, 2002 - December 31, 2002
MML INVESTORS SERVICES, LLC
November 27, 2000 - April 17, 2001
GUNNALLEN FINANCIAL, INC
January 4, 1999 - December 6, 2000
JWGENESIS FINANCIAL GROUP, INC
January 30, 1996 - January 4, 1999
CHATFIELD DEAN & CO., INC.
November 14, 1994 - July 18, 1995
IDS LIFE INSURANCE COMPANY
November 14, 1994 - July 18, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
June 5, 1992 - July 11, 1994
BARRON CHASE SECURITIES, INC.
November 27, 1990 - June 11, 1992
CHATFIELD DEAN & CO., INC.
March 21, 1989 - December 3, 1990
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
