Ernest M. Lizcano
Professional summary
Ernest M. Lizcano, who also goes by Ernest M Lizcano, Ernest M. Lizcano, Ernest Mauro Lizcano, Mauro Ernesto Lizcano, is a registered financial professional currently at INSIGNEO SECURITIES, LLC located in Houston, Texas.
Ernest is registered as a RR (Registered Representative) and started their career in finance in 1992. Ernest has worked at 8 firms and has passed the Series 63, SIE, Series 57, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ernest M. Lizcano's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 15, 2023 - Present
INSIGNEO SECURITIES, LLC
Office #1: 1300 Post Oak Blvd Suite 500, Houston, TX 77056September 17, 2021 - November 30, 2023
PNC WEALTH MANAGEMENT LLC
May 16, 2013 - September 17, 2021
BBVA SECURITIES INC.
December 22, 2011 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
January 6, 2009 - November 8, 2010
SANTANDER SECURITIES LLC
August 9, 2006 - August 28, 2006
CHASE INVESTMENT SERVICES CORP.
July 27, 2004 - July 26, 2005
J.P. MORGAN SECURITIES INC.
June 19, 1992 - March 4, 1998
INVESCO DISTRIBUTORS, 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
FINRA
Current Firm
INSIGNEO SECURITIES, LLC
CRD#: 29249 / SEC#: , 8-44166
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL GROUP LLC | MEMBER - CLASS A | |
| INSIGNEO PUERTO RICO PARTNERSHIP HOLDINGS LLC | MEMBER - CLASS B | |
| INSIGNEO SECURITIES PARTNERSHIP HOLDINGS LLC | MEMBER - CLASS B | |
| ARANA LANDAETA, MARIELA CECILIA | HEAD OF CLIENT EXPERIENCE | 4830220 |
| ARNETT, GEORGE WASHINGTON III | GENERAL COUNSEL AND DIRECTOR | 1057806 |
| AVERETT, MICHAEL ROBERT | CHIEF REVENUE OFFICER | 5311774 |
| CANINO QUINONES, LIZMARI | HEAD OF SALES SUPERVISION | 6007866 |
| CAULFIELD, JUSTIN PAUL SR | CHIEF COMPLIANCE OFFICER | 5699024 |
| CEDENO, CLAUDIA | BSA | AML OFFICER | 5235772 |
| CHUANG, ERIC C | REGULATORY AFFAIRS OFFICER | 3215724 |
| EFFIO, TAMARIND | BUSINESS DEVELOPMENT OFFICER | 7255243 |
| HENRIQUEZ, RAUL JR | CHAIRMAN OF THE BOARD | 1647412 |
| NUNEZ, FRANCISCO | DIRECTOR | 8017439 |
| POLEMENI PEREZ, MONICA | PRINCIPAL OPERATIONS OFFICER | 4130068 |
| RIESGO, AHMED | CHIEF INVESTMENT OFFICER | 5020318 |
| RIVERA CRUZ, MIGUEL ANGEL | CHIEF ACCOUNTING OFFICER / PRINCIPAL FINANCIAL OFFICER | 3255902 |
| RIVERO, JAVIER | PRESIDENT, CHIEF OPERATING OFFICER AND DIRECTOR | 4498023 |
| WATSON, CHRISTIAN PIERCE | HEAD OF TRADING | 4917370 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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