Guillermo Lara
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.
Guillermo Lara was a registered financial professional .
Guillermo is a previously registered financial professional and started their career in finance in 1995. Guillermo had worked at 11 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2012 - April 19, 2013
CAPITAL ONE FINANCIAL ADVISORS LLC
June 22, 2011 - April 19, 2013
CAPITAL ONE INVESTMENT SERVICES LLC
January 1, 2005 - May 3, 2011
HSBC SECURITIES (USA) INC.
December 7, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
October 20, 2004 - November 24, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 30, 2001 - October 20, 2004
QUICK & REILLY, INC.
July 11, 2000 - May 30, 2001
NYLIFE SECURITIES LLC
February 11, 1998 - August 28, 1999
SIGNATOR INVESTORS, INC.
April 1, 1996 - October 23, 1997
PRUCO SECURITIES, LLC.
November 16, 1995 - March 5, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 16, 1995 - March 5, 1996
EQUITABLE ADVISORS, 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
Current Firm
CAPITAL ONE FINANCIAL ADVISORS LLC
CRD#: 127236 / SEC#:
Contact information
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.
