Xavier Vicuna
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.
Xavier Vicuna was a registered financial professional .
Xavier is a previously registered financial professional and started their career in finance in 1992. Xavier had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2007 - November 19, 2024
WOLF A. POPPER, INC.
April 10, 2000 - November 20, 2024
J.H. DARBIE & CO., INC.
February 11, 2000 - April 3, 2000
BISHOP, ROSEN & CO., INC.
August 11, 1998 - October 28, 1998
FAB SECURITIES OF AMERICA, INC.
June 30, 1997 - August 20, 1998
GKN SECURITIES CORP.
March 15, 1993 - July 7, 1997
LEGEND MERCHANT GROUP, INC.
March 8, 1993 - March 18, 1993
BUTTONWOOD SECURITIES, INC.
January 3, 1992 - January 7, 1993
J. GREGORY & COMPANY, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WOLF A. POPPER, INC.
CRD#: 44974 / SEC#: , 8-50915
Contact information
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
