Elba M. Nogueras
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.
Elba Margarita Nogueras, who also goes by Elba Nogueras Diaz, was a registered financial professional .
Elba is a previously registered financial professional and started their career in finance in 2002. Elba had worked at 7 firms and has passed the Series 66, SIE 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
July 24, 2019 - October 11, 2021
FSAM LLC
June 20, 2019 - July 8, 2019
FSAM LLC
June 20, 2019 - October 11, 2021
FIRST SOUTHERN, LLC
October 14, 2016 - June 17, 2019
KOVACK ADVISORS, INC.
May 29, 2015 - June 17, 2019
KOVACK SECURITIES INC.
October 17, 2006 - June 11, 2015
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
October 17, 2006 - June 11, 2015
UBS FINANCIAL SERVICES INC.
January 23, 2002 - October 17, 2006
R-G INVESTMENTS CORPORATION
Primary Firm SEC Registration
FSAM LLC
CRD#: 287851 / SEC#: 801-122054
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
FSAM LLC
CRD#: 287851 / SEC#: 801-122054
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 165 |
| AUM (Assets Under Management) | $ 112,853,411 |
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.
