Mauricio De La Torre
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.
Mauricio De La Torre, who also goes by Mauricio Delatorre, was a registered financial professional .
Mauricio is a previously registered financial professional and started their career in finance in 1994. Mauricio had worked at 16 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2016 - March 30, 2017
TAVIRA SECURITIES US LLC
October 1, 2015 - August 31, 2016
LEVELX CAPITAL LLC
April 28, 2014 - January 6, 2015
DAKOTA SECURITIES INTERNATIONAL, INC.
October 30, 2012 - August 7, 2013
INVESTMENT PLACEMENT GROUP
January 31, 2012 - August 23, 2012
TORINO CAPITAL LLC
August 8, 2011 - January 31, 2012
GLEACHER & COMPANY SECURITIES, INC.
January 12, 2011 - August 11, 2011
MT RUSHMORE SECURITIES LLC
November 17, 2008 - February 26, 2009
GAR WOOD SECURITIES, LLC
January 1, 2005 - October 11, 2007
HSBC SECURITIES (USA) INC.
June 8, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
May 3, 2001 - October 15, 2003
COUTTS SECURITIES INC.
April 16, 1999 - July 5, 2000
EFG CAPITAL INTERNATIONAL LLC
July 1, 1998 - November 13, 1998
ABN AMRO SECURITIES LLC
March 24, 1998 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
August 9, 1996 - January 13, 1998
DEUTSCHE BANK SECURITIES INC.
April 25, 1994 - July 2, 1996
CITICORP 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
TAVIRA SECURITIES US LLC
CRD#: 145046 / SEC#: , 8-67697
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TAVIRA US LLC | MEMBER OWNER | |
| KARPEL, STEVEN ROY | CEO/PRESIDENT/CCO/FINOP | 2100626 |
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.
