Victor A. Duque
Professional summary
Victor Anthony Duque was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Victor is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Victor had worked at 7 firms, which includes SALOMON GREY FINANCIAL CORPORATION, MANTIS SECURITIES INC., MORGAN TAYLOR & ASSOCIATES INC., FIRST UNITED EQUITIES CORPORATION, JOSEPHTHAL & CO. INC., FIRST ASSET MANAGEMENT INC., STRATTON OAKMONT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2002 - July 1, 2004
SALOMON GREY FINANCIAL CORPORATION
January 18, 2001 - August 2, 2002
MANTIS SECURITIES, INC.
January 16, 1996 - March 13, 2001
MORGAN, TAYLOR & ASSOCIATES, INC.
August 29, 1995 - December 22, 1995
FIRST UNITED EQUITIES CORPORATION
June 13, 1994 - February 23, 1995
JOSEPHTHAL & CO., INC.
August 7, 1992 - May 26, 1994
FIRST ASSET MANAGEMENT, INC.
March 24, 1992 - August 10, 1992
STRATTON OAKMONT 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
SALOMON GREY FINANCIAL CORPORATION
CRD#: 43413 / SEC#: , 8-50268
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 5 |
| Financial | 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.
