Giovanni Perlloni-figueroa
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.
Giovanni Perlloni-figueroa, who also goes by Giovenni Perlloni-figueroa, Giovanni Perllonifigueroa, was a registered financial professional .
Giovanni is a previously registered financial professional and started their career in finance in 1994. Giovanni had worked at 6 firms and has passed the Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2002 - January 11, 2013
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
September 16, 2002 - January 11, 2013
UBS FINANCIAL SERVICES INC.
August 4, 1999 - October 22, 1999
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
July 16, 1999 - October 4, 2002
CITIGROUP GLOBAL MARKETS INC.
July 23, 1996 - March 18, 1998
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
April 10, 1995 - June 21, 1996
MARKETING ONE SECURITIES, INC.
December 7, 1994 - April 10, 1995
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
CRD#: 13042 / SEC#: , 8-28475
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 43 |
Red Flags
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