Farrokh M. Firozgary
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.
Farrokh Mehrban Firozgary, who also goes by Gary Firoz, was a registered financial professional .
Farrokh is a previously registered financial professional and started their career in finance in 1999. Farrokh had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 9, Series 10, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2023 - March 20, 2026
BANORTE SECURITIES INTERNATIONAL, LTD.
September 17, 2021 - December 1, 2023
PNC WEALTH MANAGEMENT LLC
May 16, 2013 - September 17, 2021
BBVA SECURITIES INC.
June 30, 2009 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
November 22, 2003 - September 18, 2009
BBVA INVESTMENTS INC.
September 10, 1999 - November 13, 2003
J.P. MORGAN SECURITIES OF TEXAS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
BANORTE SECURITIES INTERNATIONAL, LTD.
CRD#: 30648 / SEC#: , 8-45056
Contact information
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANORTE SECURITIES HOLDINGS INTERNATIONAL, INC. | SOLE SHAREHOLDER | |
| BARRAZA, JUAN CARLOS | CHIEF INVESTMENT OFFICER | 2979487 |
| FIGUEROA, JORGE ANTONIO | CHIEF OPERATING OFFICER | 7757962 |
| HERNANDEZ, JULIO RENE | CHIEF FINANCIAL OFFICER/FINOP | 7750518 |
| HERNANDEZ, MARIA GENOVEVA | DIRECTOR OF GROWTH STRATEGY | 5697097 |
| RODRIGUEZ, JOSE RAMON | CHIEF EXECUTIVE OFFICER | 4392639 |
| VALDIVIESO, JUAN FERNANDO | CHIEF COMPLIANCE OFFICER | 2820438 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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