Ruben Sifuentes
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.
Ruben Sifuentes was a registered financial advisor .
Ruben is a previously registered financial advisor and started their career in finance in 1999. Ruben had worked at 6 firms and has passed the Series 65, Series 63, SIE 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
April 12, 2013 - October 7, 2015
NATIONAL SECURITIES CORPORATION
October 1, 2012 - December 20, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2012 - December 20, 2012
J.P. MORGAN SECURITIES LLC
July 25, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 25, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 18, 2005 - July 27, 2006
FIFTH THIRD SECURITIES, INC.
September 8, 2004 - July 27, 2006
FIFTH THIRD SECURITIES, INC.
March 25, 2004 - June 23, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 25, 2004 - June 23, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 5, 2003 - March 25, 2004
CITICORP INVESTMENT SERVICES
January 26, 1999 - March 25, 2004
CITICORP INVESTMENT SERVICES
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
