Javier Tellez
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.
Javier Tellez, who also goes by William Javier Tellez, was a registered financial advisor .
Javier is a previously registered financial advisor and started their career in finance in 2002. Javier had worked at 9 firms and has passed the Series 66 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
November 13, 2012 - May 7, 2013
DIRECT ACCESS PARTNERS LLC
October 28, 2010 - September 7, 2012
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
October 15, 2010 - September 7, 2012
CAPITAL GUARDIAN, LLC
January 8, 2010 - October 20, 2010
MORGAN KEEGAN & COMPANY, LLC
December 16, 2009 - October 20, 2010
MORGAN KEEGAN & COMPANY, LLC
December 4, 2008 - December 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
September 17, 2008 - December 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 23, 2006 - June 24, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 2006 - June 24, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 2005 - August 1, 2006
ADP BROKER-DEALER, INC.
October 17, 2003 - April 6, 2005
T. ROWE PRICE ADVISORY SERVICES, INC.
December 2, 2002 - April 6, 2005
T. ROWE PRICE INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
DIRECT ACCESS PARTNERS LLC
CRD#: 120950 / SEC#: , 8-65361
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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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