Luis V. Orozco
Professional summary
Luis Valente Orozco was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Luis is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Luis had worked at 2 firms, which includes CAL FED INVESTMENTS, WAMU INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 1999 - April 26, 2000
CAL FED INVESTMENTS
November 6, 1998 - October 27, 1999
WAMU INVESTMENTS, 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
CAL FED INVESTMENTS
CRD#: 19631 / SEC#: , 8-37706
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIBANK (WEST) FSB | DIRECT OWNER | |
| AVILA, STEVEN | ASSISTANT SECRETARY | |
| BENNETT, DAVID, W | FIRST VICE PRESIDENT & RISK MANAGEMENT OFFICER | |
| BERNOT, DEBORAH CHRISTINE | PRESIDENT (DIRECTOR) | 874079 |
| BRENNAN, EDWARD MICHAEL | FIRST VP | 1191425 |
| DANIELS, DONNA ROSS | DIRECTOR | 2457651 |
| DIAMOND, KIMBERLEY SUE | FIRST VP | 874757 |
| DOYLE, CHRYSTINE HARRIET | FIRST VP | 835739 |
| ELLER, JAMES ROBERT JR | SENIOR VP/CORPORATE SECRETARY | |
| FRONTIERO, PETER STEVEN | SENIOR VICE PRESIDENT | 1086141 |
| GIANATASIO, PATRICIA LOUISE | VP | 1136139 |
| GODBEY, MARSHALL RAY | FIRST VICE PRESIDENT | |
| HOAGLIN, MARK EDWARD | 1ST VP | 2699114 |
| JAMAL, MALIA LITTLE | 1ST VP | 1681671 |
| LANZNER, EDWARD HENRY | FIRST VICE PRESIDENT | 1327170 |
| LASALLE, JOHN FRANCIS | SENIOR VP | 1044909 |
| MAGUIRE, WILLIAM JOHN JR | DIRECTOR | 2040885 |
| MOON, CAROLYN ELIZABETH | FIRST VP | 1395727 |
| PERRELLA, VICTOR ANTHONY JR | SENIOR VICE PRESIDENT | |
| POOLE, ANNETTE SUE | VICE PRESIDENT | 2397264 |
| RICE, PETER ANTHONY | VP AND CHIEF FINANCIAL OFFICER | 1218517 |
| SANSOUCI, MICHA RENEE | 1ST VP | 2172834 |
| SPRENGER, STUART ANDREW | 1ST VICE PRESIDENT | 2142881 |
| TRAVALE, SALVATORE SAM | FIRST VP | 1114661 |
| TUCEI, RENEE N | EXECUTIVE VP AND TREASURER | 2585150 |
| VALESTRINO, GARY STEVEN | VP | 1174325 |
| WINCHEL, TANYA | VICE PRESIDENT |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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