Enrique M. Vasquez
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.
Enrique Martin Vasquez was a registered financial professional .
Enrique is a previously registered financial professional and started their career in finance in 1996. Enrique had worked at 10 firms and has passed the Series 66, 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
August 7, 2019 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
August 2, 2019 - October 25, 2019
1ST GLOBAL ADVISORS INC
August 1, 2019 - January 12, 2021
AVANTAX ADVISORY SERVICES
July 25, 2019 - January 12, 2021
AVANTAX INVESTMENT SERVICES, INC.
February 12, 2015 - March 9, 2016
LEGEND EQUITIES CORPORATION
April 11, 2014 - March 14, 2016
CETERA INVESTMENT MANAGEMENT LLC
April 27, 2009 - December 31, 2010
CENTURION HINDS INVESTMENT MANAGEMENT INC.
January 10, 2008 - June 13, 2016
CETERA INVESTMENT ADVISERS LLC
July 14, 2005 - June 13, 2016
CETERA FINANCIAL SPECIALISTS LLC
February 16, 1996 - February 8, 1999
GE INVESTMENT DISTRIBUTORS, INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
1ST GLOBAL CAPITAL CORP.
CRD#: 30349 / SEC#: , 8-44870
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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