Ana D. Cuellar
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.
Ana D Cuellar, who also goes by Ana Dolores Henriquez, was a registered financial professional .
Ana is a previously registered financial professional and started their career in finance in 2001. Ana had worked at 3 firms and has passed the 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
May 25, 2006 - January 11, 2024
GLOBAL FINANCIAL SERVICES, L.L.C.
February 16, 2006 - May 24, 2006
STANFORD GROUP COMPANY
September 27, 2001 - February 13, 2006
GLOBAL FINANCIAL SERVICES, L.L.C.
March 16, 2001 - June 27, 2001
GOLDMAN SACHS & 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
Current Firm
GLOBAL FINANCIAL SERVICES, L.L.C.
CRD#: 35699 / SEC#: , 8-46866
Contact information
FINRA licenses (26 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GFS HOLDINGS, LLC | MEMBER | |
| CATHRINER, WILLIAM WALTER II | CHIEF COMPLIANCE OFFICER | 1686950 |
| CHAPA, GERARDO ARTURO | MANAGING DIRECTOR | 1451790 |
| DREPAUL, ROSHNI | FINANCIAL OPERATIONS PRINCIPAL | 6487453 |
| IBARRA, JORGE EDUARDO | CHIEF OPERATING OFFICER | 3079569 |
| MEDRANO, DILIA ELIZABETH | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 4626600 |
| TELLEZ, ALFREDO | SENIOR VICE PRESIDENT & DIRECTOR | 2616322 |
| VILLARREAL GUERRA, VICTOR MANUEL | DIRECTOR | 5310319 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
