Richard L. Torres
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.
Richard L. Torres, who also goes by Ricardo L. Torres, Ricardo Torres, Richard Torres, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2001. Richard had worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2019 - November 11, 2021
INVESTMENT PLACEMENT GROUP
January 21, 2004 - April 22, 2004
BBVA SECURITIES INC.
May 11, 2001 - September 13, 2002
RBC CAPITAL MARKETS CORPORATION
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
Series 7TO
Date: 4/9/2019
General Securities Representative ExaminationCurrent Firm
INVESTMENT PLACEMENT GROUP
CRD#: 14458 / SEC#: , 8-30700
Contact information
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AGCX TRUST UDT 7/25/1997 | SHAREHOLDER PURCHASED WEST BOWL CORP SHARES & GNZLZ-RUBIO FMLY WERE REISSUED | |
| THE ALDRETE FAMILY TRUST | SHAREHOLDER | |
| THE BENREY FAMILY TRUST, | SHAREHOLDER | |
| THEMIS INVESTMENT INC. | SHAREHOLDER - PURCHASED PART OF LEON KASSEL'S SHARES | |
| ALDRETE, ALFONSO | TRUSTEE OF THE ALDRETE FAMILY TRUST | 4352620 |
| BENREY, ALBERT | TRUSTEE OF THE BENREY FAMILY TRUST | 4290443 |
| GONZALEZRUBIO, ADOLFO | CHAIRMAN/CEO AND TRUSTEE OF THE AGCX TRUST | 2385116 |
| LASHKARI, DARIUS NMN | CHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 3061561 |
| SANCHEZ GAVITO, FRANCISCO XAVIER | MUNICIPAL SECURITIES PRINCIPAL | 6205321 |
| SANCHEZ GAVITO, FRANCISCO XAVIER | CROP/SROP | 6205321 |
| SOTO ACEVES, MARTHA ELIZABETH | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 5409623 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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