David G. Torres
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.
David Genero Torres JR, who also goes by Dave Torres Jr, David Genero Torres, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2011 - July 16, 2021
SPC
June 17, 2010 - July 18, 2011
SPC
August 18, 2008 - July 16, 2021
SIGMA FINANCIAL CORPORATION
April 7, 2003 - August 21, 2008
REGIS SECURITIES CORPORATION
December 13, 1999 - April 11, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 22, 1998 - December 15, 1999
WALNUT STREET SECURITIES, INC.
June 9, 1993 - July 23, 1998
AMERICAN GENERAL EQUITY SERVICES CORPORATION
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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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