Octavio Tovar
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.
Octavio Tovar, who also goes by Octavio Montes, was a registered financial professional .
Octavio is a previously registered financial professional and started their career in finance in 1999. Octavio had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 52, Series 7, Series 3 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2017 - June 13, 2023
NEWEDGE SECURITIES, LLC
June 22, 2015 - July 12, 2017
WFG INVESTMENTS, INC.
April 12, 2010 - October 24, 2012
ECHOTRADE LLC
June 23, 2009 - April 16, 2010
BRIGHT TRADING, LLC
November 30, 2006 - July 13, 2007
G-2 TRADING,LLC
June 10, 2004 - December 1, 2006
FIS BROKERAGE & SECURITIES SERVICES LLC
January 19, 2000 - July 24, 2000
JOSEPH CHARLES & ASSOC., INC.
December 17, 1999 - January 28, 2000
WOODSTOCK FINANCIAL GROUP, INC.
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
NEWEDGE SECURITIES, LLC
CRD#: 10674 / SEC#: , 8-27663
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | PRINCIPAL FINANCIAL OFFICER AND CFO | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| SCHNIER, DAVID JASON | GENERAL COUNSEL AND SECRETARY | 5110928 |
| SESLER, JEAN ANN | PRINCIPAL OPERATIONS OFFICER | 1809578 |
| SMITH, KYLE PETER | PRESIDENT | 2142563 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 2 |
| Arbitration | 3 |
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.
