Roberto G. Cortes
Professional summary
Roberto Gustavo Cortes SR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roberto is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Roberto had worked at 3 firms, which includes BISCAYNE CAPITAL, CIBC WORLD MARKETS CORP., CIC CAPITAL.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2010 - June 26, 2012
BISCAYNE CAPITAL
September 13, 1999 - November 26, 2002
CIBC WORLD MARKETS CORP.
November 24, 1993 - February 10, 1995
CIC CAPITAL
State Registrations and Notice Filings
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Exams
Current Firm
BISCAYNE CAPITAL
CRD#: 148502 / SEC#: 801-69668
Contact information
Red Flags
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