Eric A. Urena
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.
Eric Alexander Urena was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1993. Eric had worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, Series 57TO, Series 79TO, SIE, Series 3, Series 55, Series 7, Series 53, Series 27, Series 4 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2009 - June 26, 2026
VECTORGLOBAL IAG, INC.
July 1, 2009 - December 31, 2014
VECTORGLOBAL IAG, INC.
April 1, 2009 - July 31, 2026
VECTORGLOBAL WMG
July 17, 2006 - March 23, 2009
STANFORD GROUP COMPANY
January 11, 2005 - March 23, 2009
STANFORD GROUP COMPANY
November 25, 1997 - January 26, 2005
LEHMAN BROTHERS INC.
November 1, 1996 - November 5, 1997
STERLING FINANCIAL INVESTMENT GROUP, INC.
August 26, 1993 - May 23, 1996
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
VECTORGLOBAL IAG, INC.
CRD#: 147129 / SEC#: 801-110128
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 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 11/3/2010
Limited Representative-Equity Trader ExamCurrent Firm
VECTORGLOBAL IAG, INC.
CRD#: 147129 / SEC#: 801-110128
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,833 |
| AUM (Assets Under Management) | $ 1,692,879,789 |
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.
