Francisco J. Sumavielle
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.
Francisco Javier Sumavielle, who also goes by Javier Sumavielle, was a registered financial professional .
Francisco is a previously registered financial professional and started their career in finance in 1992. Francisco had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2012 - October 13, 2014
MIURA CAPITAL, LLC
January 16, 2009 - August 27, 2012
AVANZA CAPITAL MARKETS INC.
November 14, 2005 - December 22, 2008
PALI CAPITAL, INC.
October 24, 1996 - November 14, 2005
REFCO SECURITIES, LLC
January 6, 1995 - September 13, 1996
REFCO SECURITIES, LLC
May 21, 1993 - August 1, 1994
J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.
September 15, 1992 - January 12, 1993
CIBC WORLD MARKETS CORP.
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
MIURA CAPITAL, LLC
CRD#: 146193 / SEC#: , 8-67793
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEDRO RAUL LOPEZ REVOCABLE TRUST | SHAREHOLDER | |
| MWM HOLDINGS GROUP, INC. | SHAREHOLDER | |
| HUOP TRUST (REVOCABLE) | SHAREHOLDER | |
| D ALFONSO, ITALO | CEO | 4485045 |
| LOPEZ-JACOME, PEDRO RAUL | TRUSTEE | 4875711 |
| MENDEZ, MARCO ANTONIO | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1175827 |
| ORTEGA, HUGO RAFAEL | TRUSTEE | 4875723 |
| PINANGO DE CHENE, RICHARD JOSE | CHIEF COMPLIANCE OFFICER | 6404348 |
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.
