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Vivian A. Torres

KOVACK SECURITIES
San Juan, PR 00926
Some features on this profile are disabled
CRD#: 2165323
VT

Professional summary

Vivian Alicia Torres, who also goes by VIvian A Gallardo, Vivian Torres Rivera, Vivian A Torres, Vivian Aguiar Torres, Vivian A Torres-aguiar, is a registered financial professional currently at KOVACK SECURITIES INC. located in San Juan, .

Vivian is registered as a RR (Registered Representative) and started their career in finance in 1991. Vivian has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Vivian A Gallardo | Vivian Torres Rivera | Vivian A Torres | Vivian Aguiar Torres | Vivian A Torres-Aguiar

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vivian Alicia Torres's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 23, 2015 - Present

KOVACK SECURITIES INC.

Office #1: 1590 Ponce De Leon Ave. Gm Group Plaza Ste 405, Pmb 31, San Juan, PR 00926Office #3: 1510 Fd Roosevelt Avenue Suite 302a, Guaynabo, PR 00968Office #4: 880 Ave Tito Castro Suite 104, Ponce, PR 00716Office #5: 6451 N. Federal Highway Suite 1201, Fort Lauderdale, FL 33308Office #6: 161 Ponce De Leon Suite 301, San Juan, PR 00917Office #7: Ave De Diego #121 Urb. San Francisco, San Juan, PR 00927Office #8: 510 Ave San Luis 2nd Level, Arecibo, PR 00612Office #9: 3 Calle 1 Suite 405 Metro Office Park, Guaynabo, PR 00968
BD
CRD#: 44848
San Juan, PR
Past

July 22, 2013 - October 29, 2013

ORIENTAL FINANCIAL SERVICES LLC

BD
CRD#: 29753
SAN JUAN, PR
Past

August 4, 2009 - February 5, 2013

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

April 21, 2005 - April 21, 2005

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
HATO REY, PR
Past

April 21, 2005 - June 17, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
HATO REY, PR
Past

November 6, 1998 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

November 6, 1998 - March 11, 2005

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

February 21, 1996 - July 31, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 26, 1994 - January 4, 1996

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

BD
CRD#: 13042
HATO REY, PR
Past

October 31, 1991 - January 4, 1996

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Puerto Rico
(3/23/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/4/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/1/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/30/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/19/2002
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/18/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

KS
KOVACK SECURITIES INC.
KOVACK SECURITIES INC. | RK ADVISORS, INC. | RK ADVISORS

CRD#: 44848 / SEC#: , 8-50847

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Mailing Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Phone number
(954) 782-4771
Established
Florida since 04/22/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KOVACK FINANCIAL, LLC.OWNER
KOVACK, BRIAN JOHNCEO2809477
SHICK, ISABELLE ALLISONFINOP5364794
WOLFE, MELINDA SUECHIEF COMPLIANCE OFFICER/EVP1627593

Disclosures

Regulatory Event5
Arbitration5

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.

Company Information

KOVACK SECURITIES INC.

CRD#: 44848San Juan, PR 00926

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