Jessica M. Prieto
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.
Jessica Milagros Prieto, who also goes by Jessica M. Prieto, was a registered financial professional .
Jessica is a previously registered financial professional and started their career in finance in 2002. Jessica had worked at 4 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
February 24, 2015 - June 19, 2015
EFG CAPITAL INTERNATIONAL
May 22, 2012 - October 23, 2013
UBS FINANCIAL SERVICES INC.
April 16, 2012 - October 23, 2013
UBS FINANCIAL SERVICES INC.
January 1, 2010 - June 23, 2010
UBS FINANCIAL SERVICES INC.
January 1, 2010 - June 23, 2010
UBS FINANCIAL SERVICES INC.
August 25, 2005 - January 1, 2010
UBS INTERNATIONAL INC.
August 18, 2005 - January 1, 2010
UBS INTERNATIONAL INC.
January 31, 2003 - July 28, 2005
EFG CAPITAL INTERNATIONAL LLC
October 30, 2002 - July 28, 2005
EFG CAPITAL INTERNATIONAL LLC
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
EFG CAPITAL INTERNATIONAL
CRD#: 40118 / SEC#: 801-120569, 8-48969
Contact information
FINRA licenses (30 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EFG CAPITAL HOLDINGS CORP. | PARENT | |
| ARGUMEDO, GUILLERMO ARTURO | SENIOR VICE PRESIDENT, REGISTERED OPTIONS PRINCIPAL | 2542794 |
| BORGES, LEONARDO SILVA | PRINCIPAL OPERATIONS OFFICER | 5637377 |
| ECHEVARRIA, VICTOR MANUEL | CHAIRMAN OF THE BOARD | 1939548 |
| GONZALEZ, CARLOS JAVIER | CHIEF COMPLIANCE OFFICER | 4294205 |
| LEVERETT, KYLE LAWRENCE | PRINCIPAL FINANCIAL OFFICER | 6123446 |
| MESQUITA, SILVANA SOBRAL | AMLCO | 6983852 |
| MOHOROVIC, SANJIN | CEO | 6849141 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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