Jose V. Gaviria
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 Vincente Gaviria, who also goes by Jose VInvente Gaviria, Josevi Gaviria, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1999. Jose had worked at 1 firm and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 25 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2015 - December 20, 2023
STUART FRANKEL & CO., INCORPORATED
December 2, 2002 - January 10, 2014
STUART FRANKEL & CO., INCORPORATED
November 1, 1999 - November 30, 2000
STUART FRANKEL & CO., INCORPORATED
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/30/2009
Limited Representative-Equity Trader ExamSeries 25
Date: 3/24/2003
NYSE Trading Assistant ExaminationCurrent Firm
STUART FRANKEL & CO., INCORPORATED
CRD#: 14593 / SEC#: , 8-17419
Contact information
FINRA licenses (6 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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