Yolanda D. Cervantes
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.
Yolanda D Cervantes was a registered financial professional .
Yolanda is a previously registered financial professional and started their career in finance in 2001. Yolanda had worked at 2 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2004 - March 29, 2012
AMERICAN GENERAL DISTRIBUTORS, INC.
January 23, 2001 - December 31, 2003
AMERICAN GENERAL SECURITIES 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
Current Firm
AMERICAN GENERAL DISTRIBUTORS, INC.
CRD#: 37449 / SEC#: , 8-47753
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN GENERAL LIFE INSURANCE COMPANY | SHAREHOLDER | |
| BERNLOHR, KURT WILLIAM | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1137579 |
| CRICKS, DANIEL RICHARD | ASSISTANT TAX OFFICER | 3190022 |
| DENBOER, DAVID HENDRICK | DIRECTOR, SR VICE PRESIDENT & SECRETARY | 1348962 |
| REINER, JOHN JAY | CHIEF FINANCIAL OFFICER & TREASURER | 4052196 |
| VERBERKMOES, KRIEN III | CHIEF COMPLIANCE OFFICER | 868915 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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