Juan A. Cazorla
Professional summary
Juan Alberto Cazorla is a registered financial professional currently at REGIONS SECURITIES LLC located in Charlotte, North Carolina.
Juan is registered as a RR (Registered Representative) and started their career in finance in 1998. Juan has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Juan Alberto Cazorla's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 5, 2015 - Present
REGIONS SECURITIES LLC
Office #1: 615 South College Street, Charlotte, NC 28202July 3, 1998 - February 17, 2009
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/31/2015)
(2/21/2020)
(8/31/2015)
(7/1/2015)
(8/31/2015)
(8/31/2015)
(8/31/2015)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
REGIONS SECURITIES LLC
CRD#: 159475 / SEC#: , 8-68990
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFC FINANCIAL SERVICES HOLDING LLC | PARENT | |
| AMIN, RITVIG NIPENDRA | CHAIRMAN OF THE BOARD & DIRECTOR | 2901218 |
| GIARDINO, NEIL | CEO, PRESIDENT AND DIRECTOR | 2428962 |
| HOLLOWAY, GLENN CHRISTOPHER | FINOP, CFO, PFO, POO & DIRECTOR | 4566759 |
| MAGGIORE, JILL WRIGHT | CHIEF COMPLIANCE OFFICER & DIRECTOR | 1001068 |
| MAXWELL, JASON MATTHEW | CHIEF LEGAL OFFICER & DIRECTOR | 5997125 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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