Mauricio Vega
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.
Mauricio Vega III, who also goes by Mauricio Vega, Tray Vega III, Tre Vega III, Trey Vega Iii, was a registered financial professional .
Mauricio is a previously registered financial professional and started their career in finance in 1990. Mauricio had worked at 11 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
December 12, 1996 - February 4, 1997
TAYLOR STUART FINANCIAL, INC.
November 30, 1995 - November 21, 1996
BARRON CHASE SECURITIES, INC.
July 31, 1995 - October 20, 1995
T.L. GROUP, INC.
July 6, 1995 - October 27, 1995
ATLANTIC PACIFIC FINANCIAL, INC.
January 25, 1995 - September 26, 1995
T.L. SMITH SECURITIES
June 3, 1994 - November 29, 1994
J.P. MORGAN SECURITIES LLC
June 30, 1993 - June 3, 1994
CULLUM & SANDOW SECURITIES, INC.
November 19, 1991 - August 25, 1993
H.J. MEYERS & CO., INC.
April 11, 1991 - November 27, 1991
USAA INVESTMENT SERVICES COMPANY
October 23, 1990 - December 7, 1990
KOBER FINANCIAL CORP.
May 1, 1990 - October 18, 1990
BLINDER, ROBINSON & CO., 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
Current Firm
TAYLOR STUART FINANCIAL, INC.
CRD#: 39025 / SEC#: , 8-48577
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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