Carmen A. Sanchez
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.
Carmen Aminta Sanchez, who also goes by Carmen A Sanchez, was a registered financial professional .
Carmen is a previously registered financial professional and started their career in finance in 1998. Carmen had worked at 4 firms and has passed the Series 66 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
October 16, 2006 - November 18, 2010
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
October 16, 2006 - November 18, 2010
UBS FINANCIAL SERVICES INC.
September 28, 2005 - October 17, 2006
R-G INVESTMENTS CORPORATION
August 19, 1998 - September 19, 2005
POPULAR SECURITIES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
CRD#: 13042 / SEC#: , 8-28475
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 43 |
Red Flags
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