Jose R. Bustos
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 R Bustos was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2005. Jose had worked at 6 firms and has passed the Series 66, SIE, Series 31 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 20, 2016 - February 7, 2017
DINOSAUR FINANCIAL GROUP, L.L.C
July 13, 2015 - May 24, 2016
IFS SECURITIES
July 17, 2014 - July 28, 2015
AEGIS CAPITAL CORP.
February 5, 2010 - March 26, 2014
NORTHEAST SECURITIES, LLC
April 13, 2006 - December 2, 2009
ASD FINANCIAL SERVICES CORP
April 4, 2006 - December 2, 2009
ASD FINANCIAL SERVICES CORP
November 10, 2005 - April 3, 2006
MORGAN STANLEY DW INC.
October 11, 2005 - April 3, 2006
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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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