Jose V. Sarmenta
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.
Jose V Sarmenta II, who also goes by Jose V. Sarmenta II, Jay Sarmenta, Jose V Sarmenta, Jose VIllamor Sarmenta, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2000. Jose had worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2025 - March 4, 2026
ARES MANAGEMENT CAPITAL MARKETS LLC
December 5, 2019 - October 11, 2023
FORESIDE FUND SERVICES, LLC
August 13, 2018 - October 15, 2019
CCO CAPITAL, LLC
June 12, 2007 - September 2, 2014
U.S. BANCORP ADVISORS, LLC
June 12, 2007 - September 2, 2014
U.S. BANCORP ADVISORS, LLC
June 24, 2005 - December 9, 2005
EQUITABLE ADVISORS, LLC
June 24, 2005 - December 9, 2005
EQUITABLE ADVISORS, LLC
November 13, 2000 - May 13, 2005
NATIONAL PLANNING CORPORATION
May 22, 2000 - May 13, 2005
NATIONAL PLANNING 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
ARES MANAGEMENT CAPITAL MARKETS LLC
CRD#: 166219 / SEC#: , 8-69194
Contact information
FINRA licenses (53 States and Territories)
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.
