Vivian M. Coloma
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.
Vivian Maria Coloma, who also goes by VIvian Coloma Davila, was a registered financial professional .
Vivian is a previously registered financial professional and started their career in finance in 1992. Vivian had worked at 3 firms and has passed the Series 65 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
June 10, 2016 - December 31, 2016
TCG FINANCIAL SERVICES LLC
March 6, 2015 - December 31, 2015
TCG FINANCIAL SERVICES LLC
June 28, 1993 - November 1, 1996
AIBC INVESTMENT SERVICES CORPORATION
August 5, 1992 - May 21, 1993
CIC CAPITAL
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TCG FINANCIAL SERVICES LLC
CRD#: 156576 / SEC#: 801-72183
Contact information
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.
