Andreas D. Saucedo
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.
Andreas Dominik Saucedo was a registered financial professional .
Andreas is a previously registered financial professional and started their career in finance in 1995. Andreas had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 4, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2020 - May 21, 2020
SELECT CAPITAL CORPORATION
June 27, 2018 - May 31, 2019
WAYPOINT DIRECT INVESTMENTS, LLC
March 4, 2016 - June 30, 2016
FIVE 9 SECURITIES, LLC
January 16, 2015 - June 24, 2016
ALPHA STRATEGIES INVESTMENT CONSULTING
November 6, 2014 - December 18, 2015
EQUINOX SECURITIES, INC.
November 6, 2014 - December 18, 2015
EQUINOX SECURITIES, INC.
March 6, 2014 - September 18, 2014
DINOSAUR FINANCIAL GROUP, L.L.C
May 21, 2012 - April 5, 2013
MORGAN STANLEY
May 14, 2012 - April 5, 2013
MORGAN STANLEY
April 12, 2010 - March 27, 2012
MAN INVESTMENTS INC.
April 17, 2007 - May 19, 2008
UBS FINANCIAL SERVICES INC.
April 17, 2007 - May 19, 2008
UBS FINANCIAL SERVICES INC.
June 16, 2006 - April 20, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 16, 2006 - April 20, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 2005 - June 20, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
July 5, 2005 - June 20, 2006
FAM DISTRIBUTORS, INC.
August 13, 2003 - June 7, 2005
MORGAN STANLEY DW INC.
August 12, 2003 - June 7, 2005
MORGAN STANLEY DW INC.
April 6, 2001 - August 20, 2003
LEHMAN BROTHERS INC.
May 1, 1998 - August 29, 1999
WAMU INVESTMENTS, INC.
April 20, 1998 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
January 9, 1998 - April 8, 1998
WELLS FARGO SECURITIES INC.
December 18, 1995 - September 26, 1997
MORGAN STANLEY DW INC.
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
SELECT CAPITAL CORPORATION
CRD#: 145997 / SEC#: , 8-67772
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
