Juan A. Seoane
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.
Juan Angel Seoane, who also goes by Gianni Seoane, was a registered financial professional .
Juan is a previously registered financial professional and started their career in finance in 1994. Juan had worked at 14 firms and has passed the Series 63, SIE 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
September 19, 2023 - May 2, 2024
UCAP AMERICAS
February 1, 2021 - September 11, 2023
TORINO CAPITAL LLC
April 20, 2020 - December 10, 2020
AEGIS CAPITAL CORP.
June 24, 2015 - April 20, 2020
LEK SECURITIES CORPORATION
July 13, 2010 - July 15, 2015
MCBARRON CAPITAL LLC
April 7, 2008 - July 15, 2010
JESUP & LAMONT SECURITIES CORP
June 3, 2002 - April 17, 2008
UBS INTERNATIONAL INC.
October 18, 2001 - June 3, 2002
UBS FINANCIAL SERVICES INC.
April 13, 2000 - August 8, 2001
MORGAN STANLEY DW INC.
February 14, 2000 - April 17, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 16, 1999 - June 28, 1999
CIBC WORLD MARKETS CORP.
October 29, 1997 - November 25, 1997
ON-SITE TRADING, INC.
December 15, 1994 - March 6, 1995
MENOCAL & CO.
October 24, 1994 - December 8, 1994
WORLDCO, L.L.C.
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
UCAP AMERICAS
CRD#: 173643 / SEC#: , 8-69543
Contact information
FINRA licenses (19 States and Territories)
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.
