Prospero Atienza
Professional summary
Prospero Atienza JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Prospero is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Prospero had worked at 3 firms, which includes WMA SECURITIES INC., UNITED SECURITIES ALLIANCE INC., VOYA FINANCIAL ADVISORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 1999 - May 10, 2000
WMA SECURITIES, INC.
July 28, 1997 - November 19, 1999
UNITED SECURITIES ALLIANCE, INC.
January 29, 1996 - July 23, 1997
VOYA FINANCIAL ADVISORS, INC.
April 25, 1995 - February 9, 1996
WMA SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
WMA SECURITIES, INC.
CRD#: 32625 / SEC#: , 8-45728
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 6 |
Red Flags
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