Octavio Lugo
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.
Octavio Lugo was a registered financial professional .
Octavio is a previously registered financial professional and started their career in finance in 1999. Octavio had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 31 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
May 6, 2019 - October 4, 2019
BARDI CO. LLC
June 11, 2015 - July 2, 2018
BARDI CO. LLC
July 17, 2013 - June 10, 2015
BOUSTEAD SECURITIES, LLC
March 17, 2008 - August 31, 2011
BMA SECURITIES, LLC
July 30, 2007 - March 4, 2008
WESTERN INTERNATIONAL SECURITIES, INC.
December 8, 2004 - March 4, 2008
WESTERN INTERNATIONAL SECURITIES, INC.
December 3, 2004 - May 1, 2007
WESTERN INTERNATIONAL SECURITIES, INC.
June 2, 2003 - March 12, 2004
CITICORP INVESTMENT SERVICES
April 16, 2003 - April 17, 2003
CROWELL, WEEDON & CO.
September 7, 2000 - February 20, 2003
MORGAN STANLEY DW INC.
September 14, 1999 - February 20, 2003
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
BARDI CO. LLC
CRD#: 166134 / SEC#: 802-114617, 8-69190
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 275,000 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 5/29/2020 |
| California | ERA - Withdrawn | 9/23/2021 |
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.
