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Luis Arguelles

Some features on this profile are disabled
CRD#: 4335211
LA

Professional summary

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

Luis is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Luis had worked at 1 firm, which includes BANORTE SECURITIES INTERNATIONAL LTD..

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

August 23, 2001 - October 17, 2007

BANORTE SECURITIES INTERNATIONAL, LTD.

BD
CRD#: 30648
NEW YORK, NY

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: 10/6/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/4/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 2/24/2001
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/25/2002
Registered Options Principal Examination

Current Firm

BS
BANORTE SECURITIES INTERNATIONAL, LTD.
AFIN SECURITIES INTERNATIONAL, LTD. | BANORTE-IXE SECURITIES INTERNATIONAL, LTD. | BANORTE WEALTH MANAGEMENT | BANORTE SECURITIES INTERNATIONAL, LTD. | BANORTE SECURITIES INTERNATIONAL, LTD | BANORTE SECURITIES INTERNATIONAL LTD | BANORTE SECURITIES

CRD#: 30648 / SEC#: , 8-45056

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
5075 Westheimer Suite 975w, Houston, TX 77056
Mailing Address
5075 Westheimer Suite 975w, Houston, TX 77056
Phone number
(713) 980-4600
Established
Texas since 02/21/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BANORTE SECURITIES HOLDINGS INTERNATIONAL, INC.SOLE SHAREHOLDER
BARRAZA, JUAN CARLOSCHIEF INVESTMENT OFFICER2979487
FIGUEROA, JORGE ANTONIOCHIEF OPERATING OFFICER7757962
FIROZGARY, FARROKH MEHRBANCHIEF COMPLIANCE OFFICER3263239
HERNANDEZ, JULIO RENECHIEF FINANCIAL OFFICER/FINOP7750518
HERNANDEZ, MARIA GENOVEVADIRECTOR OF GROWTH STRATEGY5697097
RODRIGUEZ, JOSE RAMONCHIEF EXECUTIVE OFFICER4392639
VALDIVIESO, JUAN FERNANDOCHIEF COMPLIANCE OFFICER - RIA AFFILIATE2820438

Disclosures

Regulatory Event4

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

BANORTE SECURITIES INTERNATIONAL, LTD.

CRD#: 30648

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