Roberto Figueroa
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.
Roberto Figueroa JR was a registered financial professional .
Roberto is a previously registered financial professional and started their career in finance in 1994. Roberto had worked at 5 firms and has passed the Series 63 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 3, 1999 - September 13, 1999
INSTITUTIONAL EQUITY CORPORATION
February 24, 1999 - June 7, 1999
LLOYD WADE SECURITIES INC.
January 24, 1997 - January 28, 1999
ROYAL HUTTON SECURITIES CORP.
August 9, 1995 - November 7, 1996
TOLUCA PACIFIC SECURITIES CORP.
March 2, 1994 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
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
INSTITUTIONAL EQUITY CORPORATION
CRD#: 19628 / SEC#: , 8-37654
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTITUTIONAL EQUITY HOLDINGS, INC. | COMMON SHAREHOLDER | |
| SHUEY, ROBERT ALTON | MANAGING DIRECTOR OF CORPORATE FINANCE | 710362 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 5 |
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.
