Guillermo J. Machuca
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 Javier Machuca, who also goes by Guillermo J. Machuca Batista, was a registered financial professional .
Guillermo is a previously registered financial professional and started their career in finance in 1999. Guillermo had worked at 6 firms and has passed the Series 66, Series 7TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2021 - October 8, 2025
FIRST SOUTHERN, LLC
January 29, 2008 - November 21, 2014
UBS FINANCIAL SERVICES INC.
June 29, 2006 - November 21, 2014
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
June 29, 2006 - November 21, 2014
UBS FINANCIAL SERVICES INC.
January 20, 2004 - June 29, 2006
POPULAR SECURITIES, LLC
May 2, 2002 - October 28, 2003
MORGAN STANLEY DW INC.
December 14, 1999 - November 8, 2001
GRUNTAL & CO., L.L.C.
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: 7/31/2021
General Securities Representative ExaminationCurrent Firm
FIRST SOUTHERN, LLC
CRD#: 282756 / SEC#: , 8-69733
Contact information
FINRA licenses (35 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENT, INC. | SHAREHOLDER | |
| HEEHAW INC. | SHAREHOLDER | |
| VSPR, INC. | SHAREHOLDER | |
| PAGAN MARXUACH, RAFAEL ANTONIO | OWNER | 2863850 |
| HAWK, WILLIAM HEATH | PRESIDENT/CEO/MANAGING MEMBER | 2494928 |
| JACKELS, STEPHANIE KANE | FINOP/PFO | 5928877 |
| JONES, SHARON DOSTER | CHIEF COMPLIANCE OFFICER | 3124470 |
| SFYRIS, VASILEIOS ALEXIOS | MANAGING MEMBER/POO | 4026992 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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