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LS

Luis A. Saenz

Some features on this profile are disabled
CRD#: 2788842
LS

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.

Luis Augusto Saenz, who also goes by Luis A Saenz, was a registered financial professional .

Luis is a previously registered financial professional and started their career in finance in 1997. Luis had worked at 4 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Luis A Saenz

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 7, 2011 - May 14, 2012

OTKRITIE CAPITAL U.S. INC.

BD
CRD#: 155187
NEW YORK, NY
Past

April 10, 2007 - February 28, 2008

RENCAP SECURITIES, INC.

BD
CRD#: 37821
NEW YORK, NY
Past

February 8, 2006 - December 18, 2006

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

January 28, 1997 - March 11, 1997

GUZMAN & COMPANY

BD
CRD#: 21013
CORAL GABLES, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/12/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/5/2011
General Securities Representative Examination

Current Firm

OC
OTKRITIE CAPITAL U.S. INC.
OTKRITIE CAPITAL U.S. INC. | OTKRITIE INC.

CRD#: 155187 / SEC#: , 8-68704

BD
Terminated by SEC on 12/03/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/04/2010
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OTKRITIE CAPITAL INTERNATIONAL LTDOWNER
HOPKINS, THOMAS JOHNFINOP1835087
SNELL, HOWARD PETER MRDIRECTOR6866193
WEICHSEL, JEFFREY LOUISDIRECTOR, CCO5415479

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.

Company Information

OTKRITIE CAPITAL U.S. INC.

CRD#: 155187

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