Louis A. Tinoco
Professional summary
Louis Anthony Tinoco JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Louis is a previously registered financial advisor and started their career in finance in 1997. Prior to being barred, Louis had worked at 7 firms, which includes BARCLAYS CAPITAL INC., UBS FINANCIAL SERVICES INC., UBS INTERNATIONAL INC., ATLAS ONE CAPITAL MANAGEMENT LLC, ATLAS ONE FINANCIAL GROUP LLC, LEHMAN BROTHERS INC., GKN SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2011 - July 12, 2013
BARCLAYS CAPITAL INC.
March 8, 2011 - July 12, 2013
BARCLAYS CAPITAL INC.
June 9, 2010 - March 15, 2011
UBS FINANCIAL SERVICES INC.
January 1, 2010 - March 15, 2011
UBS FINANCIAL SERVICES INC.
May 9, 2005 - January 1, 2010
UBS INTERNATIONAL INC.
October 8, 2003 - October 11, 2005
ATLAS ONE CAPITAL MANAGEMENT, LLC
July 9, 2003 - April 4, 2005
ATLAS ONE FINANCIAL GROUP, LLC
October 28, 1998 - July 7, 2003
LEHMAN BROTHERS INC.
September 5, 1997 - November 18, 1997
GKN SECURITIES CORP.
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
BARCLAYS CAPITAL INC.
CRD#: 19714 / SEC#: 801-69700, 8-41342
Contact information
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 4 |
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