Laura A. Perez Cava
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.
Laura Alicia Perez Cava, who also goes by Laura Alica Perez, Laura Alicia Perez, Laura Alicia Perezcava, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1996. Laura had worked at 5 firms and has passed the Series 99TO, SIE, Series 3, Series 7, Series 9, Series 10 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
February 1, 2023 - December 4, 2024
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
July 31, 2017 - January 2, 2025
INSIGNEO SECURITIES, LLC
August 4, 2011 - July 31, 2017
NORTHEAST SECURITIES, LLC
July 1, 2003 - January 6, 2011
WELLS FARGO CLEARING SERVICES, LLC
November 22, 1996 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 3/13/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
CRD#: 17053 / SEC#: , 8-33185
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO PUERTO RICAN HOLDINGS, LLC | MEMBER | |
| POLEMENI PEREZ, MONICA | PRINCIPAL OPERATIONS OFFICER | 4130068 |
| RIVERA CRUZ, MIGUEL ANGEL | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFFICER | 3255902 |
| RIVERO, JAVIER | PRESIDENT & CHIEF OPERATING OFFICER | 4498023 |
| VALLADARES-TORRES, MOISES | EXECUTIVE REPRESENTATIVE & CHIEF COMPLIANCE OFFICER | 5011784 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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