Liza Sepulveda
Professional Summary
Liza Sepulveda, who also goes by Liza Jurado Sepulveda, is a registered financial advisor currently at CAPACUITY SECURITIES, INC. located in Latham, New York. Liza is registered as a RR (Registered Representative) and started their career in finance in 2003. Liza has worked at 5 firms and has passed the SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Liza Jurado Sepulveda
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
23 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
CAPACUITY SECURITIES, INC. | JOHNSON SECURITIES, INC.
Contact Information
Main Address
300 International Pkwy, #350, Lake Mary, FL 32746Mailing Address
300 International Pkwy, #350, Lake Mary, FL 32746Phone Number
(407) 949-6889Established
Pennsylvania since 05/14/1984Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(11/22/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2003About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Liza Sepulveda's CRS (Customer Relationship Summary).
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AMERIPRISE FINANCIAL SERVICES, LLC