Helen (. Lumpuy
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.
Helen (nmn) Lumpuy, who also goes by Helen Lumpuy, was a registered financial professional .
Helen is a previously registered financial professional and started their career in finance in 1993. Helen had worked at 6 firms and has passed the Series 79TO, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2023 - April 4, 2024
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
April 10, 2017 - December 8, 2017
NORTHEAST SECURITIES, LLC
July 24, 2008 - December 11, 2009
PUMA CAPITAL, LLC
July 14, 2000 - April 4, 2024
INSIGNEO SECURITIES, LLC
June 7, 1996 - July 6, 2000
REFCO SECURITIES, LLC
January 1, 1993 - September 16, 1994
EFG CAPITAL INTERNATIONAL LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
CRD#: 17053 / SEC#: , 8-33185
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO PUERTO RICAN HOLDINGS, LLC | MEMBER | |
| POLEMENI PEREZ, MONICA | PRINCIPAL OPERATIONS OFFICER | 4130068 |
| RIVERA CRUZ, MIGUEL ANGEL | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFFICER | 3255902 |
| RIVERO, JAVIER | PRESIDENT & CHIEF OPERATING OFFICER | 4498023 |
| VALLADARES-TORRES, MOISES | EXECUTIVE REPRESENTATIVE & CHIEF COMPLIANCE OFFICER | 5011784 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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