Ernesto M. Consuegra
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.
Ernesto Mario Consuegra was a registered financial professional .
Ernesto is a previously registered financial professional and started their career in finance in 1996. Ernesto had worked at 4 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2002 - January 3, 2005
REDWOOD TRADING, LLC
November 15, 2001 - February 27, 2002
ORION TRADING, LLC
July 25, 1996 - March 28, 2001
NATIONAL CLEARING CORP.
March 15, 1996 - July 16, 1996
JOSEPH ROBERTS & CO., 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
Series 55
Date: 10/1/2001
Limited Representative-Equity Trader ExamCurrent Firm
REDWOOD TRADING, LLC
CRD#: 114774 / SEC#: , 8-53448
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
