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BM

Boutros F. Mansour

Some features on this profile are disabled
CRD#: 2426615
BM

Professional summary

Boutros Fouad Mansour was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Boutros is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Boutros had worked at 4 firms, which includes VANGUARD CAPITAL, WALDRON & CO. INC., SECURITIES AMERICA INC., COBURN & MEREDITH INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pierre Mansour | Boutros Fouad Monsour | Boutros Fouad Pierre

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 17, 1998 - March 23, 1999

VANGUARD CAPITAL

BD
CRD#: 22081
DEL MAR, CA
Past

June 18, 1998 - September 17, 1998

WALDRON & CO., INC.

BD
CRD#: 868
IRVINE, CA
Past

May 25, 1995 - October 30, 1998

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

November 18, 1993 - May 24, 1995

COBURN & MEREDITH, INC.

BD
CRD#: 164
SIMSBURY, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/24/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/22/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/17/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/29/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/14/1996
Registered Options Principal Examination

Current Firm

VC
VANGUARD CAPITAL
VANGUARD CAPITAL

CRD#: 22081 / SEC#: 801-71971, 8-39450

BD
Terminated by SEC on 01/03/2017
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Contact information

Main Address
Del Mar, CA
Mailing Address
Phone number
Established
California since 02/24/1988
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
SERRAS, GREGORYPRESIDENT,CEO/CFO, CORPORATE SECRETARY1189358
HANSON, CHRISTOPHER ALLENCHIEF COMPLIANCE OFFICER4267718
POLIVKA, VINCENT MARKCOMPLIANCE PRINCIPAL; SROP & CROP DESIGNATE;OPERATIONS SUPPORT1718591

Disclosures

Regulatory Event10
Arbitration3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

VANGUARD CAPITAL

CRD#: 22081

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