Guillermo A. Borrego
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.
Guillermo Aaron Borrego, who also goes by Guillerno A Borrego, was a registered financial professional .
Guillermo is a previously registered financial professional and started their career in finance in 1998. Guillermo had worked at 5 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 3, Series 87, Series 7, Series 6 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
July 17, 2013 - March 2, 2015
INTERCONTINENTAL WEALTH ADVISORS, LLC
December 7, 2005 - March 2, 2015
INTERCONTINENTAL ASSET MANAGEMENT GROUP, LTD.
October 25, 2004 - November 18, 2005
ADVISORS ASSET MANAGEMENT, INC.
January 4, 2002 - November 18, 2005
ADVISORS ASSET MANAGEMENT, INC.
September 2, 1999 - February 26, 2001
USAA INVESTMENT SERVICES COMPANY
July 28, 1998 - July 29, 1999
U.S. GLOBAL BROKERAGE, 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
INTERCONTINENTAL WEALTH ADVISORS, LLC
CRD#: 114787 / SEC#: 801-66430
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,679 |
| AUM (Assets Under Management) | $ 1,537,635,933 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/22/2022 | ||
| 01/12/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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