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JL

Jose L. Luna

Some features on this profile are disabled
CRD#: 4566784
JL

Professional summary

Jose Luis Luna was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jose is a previously registered financial professional and started their career in finance in 2008. Prior to being barred, Jose had worked at 1 firm, which includes LATAM INVESTMENTS LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jose L. Luna | Jose L.uis Luna

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

May 7, 2008 - January 4, 2010

LATAM INVESTMENTS, LLC

BD
CRD#: 133163
MIAMI, FL

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

General Industry/Product Exam
RR
Series 7
Date: 5/6/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 11
Date: 10/3/2004
Assistant Representative-Order Processing Qualification Exam

Current Firm

LI
LATAM INVESTMENTS, LLC
ACOSTA FINANCIAL SERVICES, LLC | MARKWOOD CAPITAL ADVISORS, LLC | LATAM INVESTMENTS, LLC

CRD#: 133163 / SEC#: , 8-66694

BD
Terminated by SEC on 04/27/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 09/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ACOSTA, MAXIMINO JIMMY25% BUT LESS THAN 50%2526721
AGUILERA-DUQUE, ANGELICA MOREMILPRESIDENT, FINOP2533346
KONIG, MARCOSCHIEF EXECUTIVE OFFICER1722052
KONIG, VICTOR MOISESHEAD OF EQUITY TRADING3044712
LASHKARI, DARIUSCHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER3061561

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

LATAM INVESTMENTS, LLC

CRD#: 133163

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