Jorge L. Urquijo
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 Luis Urquijo, who also goes by Jorge L Urquijo, was a registered financial professional .
Jorge is a previously registered financial professional and started their career in finance in 1992. Jorge had worked at 6 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2022 - February 12, 2025
PRINCIPAL ADVISED SERVICES
July 11, 2005 - October 31, 2022
PRINCIPAL SECURITIES, INC.
January 10, 2005 - February 5, 2025
PRINCIPAL SECURITIES, INC.
February 6, 1997 - August 31, 2001
UST FINANCIAL SERVICES CORP.
May 10, 1996 - December 18, 1996
CITISTREET EQUITIES LLC
January 30, 1996 - February 26, 1996
MSI FINANCIAL SERVICES, INC.
December 16, 1992 - February 26, 1996
METROPOLITAN LIFE INSURANCE COMPANY
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
