Mario H. 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.
Mario Hebert Figueroa was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1993. Mario 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
April 26, 1999 - January 1, 2001
THE THORNWATER COMPANY, L.P.
February 17, 1998 - April 7, 1999
ROAN CAPITAL PARTNERS L.P.
February 21, 1997 - February 27, 1998
GKN SECURITIES CORP.
February 2, 1996 - March 3, 1997
AMERICORP SECURITIES, INC.
November 28, 1994 - February 29, 1996
GKN SECURITIES CORP.
October 22, 1993 - December 7, 1994
SOUTH RICHMOND SECURITIES, INC.
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
THE THORNWATER COMPANY, L.P.
CRD#: 36195 / SEC#: , 8-47178
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
