Jorge M. Soltero
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.
Jorge M Soltero, who also goes by William J Slater, William Jerome Slater, II Jorge M Soltero, Jorge Manuel Soltero Ii, was a registered financial professional .
Jorge is a previously registered financial professional and started their career in finance in 2004. Jorge had worked at 3 firms and has passed the Series 63, SIE, Series 52, Series 55, Series 3 and Series 17 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2009 - February 25, 2009
BANC OF AMERICA SECURITIES LLC
September 22, 2006 - June 4, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 2006 - April 28, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 2004 - June 14, 2005
UBS SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 9/15/2004
Limited Representative-Equity Trader ExamSeries 17
Date: 6/22/2004
Limited Registered Representative ExaminationCurrent Firm
BANC OF AMERICA SECURITIES LLC
CRD#: 26091 / SEC#: , 8-42263
Contact information
Documents
Disclosures
| Regulatory Event | 88 |
| Civil Event | 2 |
| Arbitration | 3 |
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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