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OM

Oscar A. Montenegro

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CRD#: 4222514
OM

Professional summary

Oscar Armando Montenegro was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Oscar is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Oscar had worked at 2 firms, which includes DAYLIGHT ONLINE BROKERAGE LLC, WHITE PACIFIC SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 14, 2002 - May 23, 2002

DAYLIGHT ONLINE BROKERAGE, LLC

BD
CRD#: 47897
ADDISON, TX
Past

November 22, 2000 - December 4, 2001

WHITE PACIFIC SECURITIES, INC.

BD
CRD#: 42505
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/17/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/2000
General Securities Representative Examination

Current Firm

DO
DAYLIGHT ONLINE BROKERAGE, LLC
DAYLIGHT ONLINE BROKERAGE, LLC

CRD#: 47897 / SEC#: , 8-51952

BD
Terminated by SEC on 12/17/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 01/19/2001
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DAYLIGHT HOLDINGS, INC.OWNER

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.

Company Information

DAYLIGHT ONLINE BROKERAGE, LLC

CRD#: 47897

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