Orlando L. Vargas
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.
Orlando Luis Vargas was a registered financial advisor .
Orlando is a previously registered financial advisor and started their career in finance in 2000. Orlando had worked at 8 firms and has passed the Series 66 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
February 23, 2012 - December 31, 2013
CAPITOL CITY ADVISORY GROUP
March 5, 2008 - December 31, 2010
CAPITOL CITY ADVISORY GROUP
July 9, 2007 - September 26, 2008
SILVER OAK SECURITIES, INCORPORATED
January 30, 2007 - March 13, 2007
AVENTURA SECURITIES, LLC
May 19, 2005 - December 31, 2006
ARGENTUS SECURITIES, LLC
July 1, 2004 - May 5, 2005
SUMA SECURITIES, LLC
August 28, 2003 - June 30, 2004
VOYA FINANCIAL ADVISORS, INC.
October 30, 2001 - August 15, 2003
EDWARD JONES
July 19, 2000 - October 5, 2001
MORGAN STANLEY DW 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
CAPITOL CITY ADVISORY GROUP
CRD#: 143712 / SEC#:
Contact information
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.
