Juan A. Exposito
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.
Juan Alberto Exposito, who also goes by Juan A Exposito, was a registered financial professional .
Juan is a previously registered financial professional and started their career in finance in 2000. Juan had worked at 2 firms and has passed the Series 63 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
February 27, 2001 - April 30, 2001
SHEARSON FINANCIAL SERVICES, LLC
May 18, 2000 - February 22, 2001
GLOBAL CAPITAL SECURITIES 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
Current Firm
SHEARSON FINANCIAL SERVICES, LLC
CRD#: 38619 / SEC#: 801-61866, 8-48313
Contact information
FINRA licenses (45 States and Territories)
Disclosures
| Regulatory Event | 8 |
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.
