Victor M. Barajas
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.
Victor Manuel Barajas SR was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1993. Victor had worked at 6 firms and has passed the Series 63 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
April 4, 2007 - June 26, 2014
EMPLOYEE BENEFITS INVESTMENT GROUP, INC.
January 24, 2007 - March 6, 2007
CETERA INVESTMENT SERVICES LLC
May 1, 2006 - January 23, 2007
EVOLVE SECURITIES, INC.
February 18, 2004 - May 1, 2006
U.S.-WORLDWIDE FINANCIAL SERVICES, INC.
October 6, 2003 - November 14, 2003
IFMG SECURITIES, INC.
July 24, 2001 - June 30, 2003
BANC ONE SECURITIES CORPORATION
August 18, 1993 - July 13, 2001
U.S.-WORLDWIDE FINANCIAL SERVICES, 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
EMPLOYEE BENEFITS INVESTMENT GROUP, INC.
CRD#: 104237 / SEC#: , 8-52699
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRONCOSO, ARTHUR BONIFICIO JR | CCO/CHEIF COMPLIANCE OFFICER | 2922193 |
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.
