Juan C. 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.
Juan Carlos Vega was a registered financial professional .
Juan is a previously registered financial professional and started their career in finance in 1993. Juan had worked at 3 firms and has passed the Series 63, Series 55 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
October 11, 1999 - September 25, 2002
FIRST LIBERTY INVESTMENT GROUP, INC.
August 31, 1998 - October 6, 1999
FAS WEALTH MANAGEMENT SERVICES, INC.
April 6, 1993 - August 31, 1998
BILTMORE SECURITIES, 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: 4/9/1999
Limited Representative-Equity Trader ExamCurrent Firm
FIRST LIBERTY INVESTMENT GROUP, INC.
CRD#: 3536 / SEC#: , 8-6824
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMONWEALTH INV. GRP | OWNER | |
| EMINENTE, CHRISTIAN LUCIANO | EXEC. VP | 2109308 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 10 |
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.
