Oscar O. Sanchez
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.
Oscar Octavio Sanchez was a registered financial professional .
Oscar is a previously registered financial professional and started their career in finance in 2001. Oscar had worked at 3 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
December 17, 2012 - February 5, 2014
LAFISE SECURITIES LLC
September 19, 2011 - December 11, 2012
ITA FINANCIAL SERVICES, LLC
July 16, 2001 - September 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 2001 - September 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
LAFISE SECURITIES LLC
CRD#: 115624 / SEC#: 801-129796, 8-53506
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 736,018,633 |
Disclosures
| Regulatory Event | 2 |
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.
