Walter Montenegro
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.
Walter Montenegro, who also goes by Walter Montenegro Mr, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 2003. Walter had worked at 6 firms and has passed the Series 63, Series 65 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
May 22, 2012 - April 30, 2013
GLOBALINVEST FINANCIAL SERVICES, INC.
December 7, 2011 - January 18, 2012
DOMINICK & DICKERMAN LLC
January 29, 2008 - July 14, 2011
HSBC SECURITIES (USA) INC.
January 28, 2008 - July 14, 2011
HSBC SECURITIES (USA) INC.
May 29, 2007 - January 10, 2008
CITIGROUP GLOBAL MARKETS INC.
March 11, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 25, 2003 - December 2, 2003
MORGAN STANLEY DW INC.
March 6, 2003 - December 2, 2003
MORGAN STANLEY DW INC.
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
GLOBALINVEST FINANCIAL SERVICES, INC.
CRD#: 154466 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 45 |
| AUM (Assets Under Management) | $ 18,389,772 |
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.
