Regina V. Buenaventura
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.
Regina Vieites Buenaventura, who also goes by Regina VIeites Roth, was a registered financial professional .
Regina is a previously registered financial professional and started their career in finance in 1995. Regina had worked at 11 firms and has passed the Series 65, Series 63 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
February 16, 2011 - June 29, 2012
COUNTRY CAPITAL MANAGEMENT COMPANY
October 27, 2010 - January 4, 2011
WELLS FARGO INVESTMENTS, LLC
September 29, 2010 - January 4, 2011
WELLS FARGO INVESTMENTS, LLC
October 2, 2008 - October 3, 2008
OPPENHEIMER & CO. INC.
May 29, 2007 - October 29, 2007
CITIGROUP GLOBAL MARKETS INC.
June 16, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
June 15, 2004 - May 3, 2005
VALIC FINANCIAL ADVISORS, INC.
March 2, 2004 - May 3, 2005
VALIC FINANCIAL ADVISORS, INC.
October 28, 2002 - May 8, 2003
KOVACK SECURITIES INC.
May 22, 1998 - December 21, 2000
PRUDENTIAL EQUITY GROUP, LLC
July 7, 1997 - August 5, 1997
BILTMORE SECURITIES, INC.
September 19, 1996 - December 23, 1996
PRUCO SECURITIES, LLC.
May 15, 1996 - August 12, 1996
PRUCO SECURITIES, LLC.
August 25, 1995 - September 15, 1995
GKN SECURITIES CORP.
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
COUNTRY CAPITAL MANAGEMENT COMPANY
CRD#: 12060 / SEC#: , 8-12645
Contact information
FINRA licenses (31 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COUNTRY LIFE INSURANCE COMPANY | SHAREHOLDER | |
| BULL, DAVID B | PRINCIPAL OPERATIONS OFFICER | 5287948 |
| DARMSTAEDTER, GEOFFREY FREDERICK | CHIEF COMPLIANCE OFFICER & ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 5709185 |
| DODDS, ALAN KEITH | VICE PRESIDENT - FINANCE & TREASURER | 5660784 |
| DUNCAN, BRIAN KEITH | CHAIRMAN OF THE BOARD & DIRECTOR | 6904912 |
| ELLERMAN, DOUGLAS JOSEPH | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 6096851 |
| FLETCHER, JEREMIAH DEAN | CHIEF INFORMATION SECURITY OFFICER | 6970583 |
| FRERICHS, TROY MITCHELL | CEO, EXECUTIVE REPRESENTATIVE | 4133454 |
| GREEN, DENNIS WAYNE | DIRECTOR | 6904908 |
| HARRIS, TIMOTHY JOHN | EXECUTIVE VICE PRESIDENT OF AGENCY | 3155020 |
| MEISS, DAVID LEE | DIRECTOR | 6904884 |
| SCHUTZ, CHAD KENNETH | DIRECTOR | 6904905 |
| VANCE, JENNIFER LYNN | GENERAL COUNSEL, SECRETARY & CHIEF LEGAL OFFICER | 7040592 |
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.
