Felipe A. Luna
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.
Felipe Amor Luna, who also goes by Felipe A Luna, was a registered financial professional .
Felipe is a previously registered financial professional and started their career in finance in 1994. Felipe had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2011 - June 16, 2014
CONCERT CAPITAL MANAGEMENT
October 10, 2011 - September 3, 2014
PRIVATE CLIENT ADVISORS
November 30, 2006 - August 5, 2016
CONCERT WEALTH MANAGEMENT
December 3, 2002 - September 12, 2006
UBS FINANCIAL SERVICES INC.
December 3, 2002 - September 12, 2006
UBS FINANCIAL SERVICES INC.
July 6, 1998 - December 13, 2002
CITIGROUP GLOBAL MARKETS INC.
June 15, 1998 - December 13, 2002
CITIGROUP GLOBAL MARKETS INC.
December 6, 1994 - June 17, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 8
Date: 8/19/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CONCERT CAPITAL MANAGEMENT
CRD#: 158763 / SEC#: 801-72666
Contact information
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.
