Vivian Cervantes
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.
Vivian Cervantes was a registered financial professional .
Vivian is a previously registered financial professional and started their career in finance in 1999. Vivian had worked at 7 firms and has passed the Series 63, Series 82TO, Series 79TO, SIE, Series 86, Series 87 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
May 2, 2022 - June 6, 2025
GILMARTIN FINANCIAL
August 9, 2011 - February 6, 2012
KAUFMAN BROS., L.P.
February 16, 2010 - May 13, 2011
MAXIM GROUP LLC
November 1, 2007 - January 30, 2009
RODMAN & RENSHAW, LLC
April 6, 2005 - September 21, 2007
BMO CAPITAL MARKETS CORP.
February 20, 2004 - April 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 1999 - May 2, 2003
MORGAN STANLEY & CO. LLC
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 82TO
Date: 3/9/2022
Limited Representative-Private Securities OfferingsSeries 79TO
Date: 11/23/2021
Investment Banking Registered Representative ExaminationCurrent Firm
GILMARTIN FINANCIAL
CRD#: 312622 / SEC#: , 8-70713
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEWIS, LYNN CHRISTINE | CEO, CCO, EXECUTIVE REPRESENTATIVE | |
| BRANT, DAVID ROBERT | FINOP, POO AND PFO | 2718478 |
Red Flags
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