Jorge L. Pesquera
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.
Jorge Luis Pesquera, who also goes by Jorge L. Pesquera, Jorge Pesquera, Jorge Luis Pesquera Rolon, was a registered financial professional .
Jorge is a previously registered financial professional and started their career in finance in 1993. Jorge had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2000 - December 11, 2014
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
January 6, 2000 - December 11, 2014
UBS FINANCIAL SERVICES INC.
May 21, 1997 - January 7, 2000
POPULAR SECURITIES, LLC
June 20, 1994 - May 21, 1997
MARKETING ONE SECURITIES, INC.
September 9, 1993 - March 31, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
CRD#: 13042 / SEC#: , 8-28475
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 43 |
Red Flags
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