Gustavo Miguel
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.
Gustavo Miguel was a registered financial professional .
Gustavo is a previously registered financial professional and started their career in finance in 2004. Gustavo had worked at 3 firms and has passed the Series 65, Series 63, Series 55, Series 3 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 9, 2012 - December 31, 2015
TPC CAPITAL MANAGEMENT, LLC
February 1, 2011 - March 15, 2012
THOMPSON PEAK CAPITAL, LLC
January 5, 2010 - December 31, 2010
THOMPSON PEAK CAPITAL, LLC
September 22, 2004 - September 29, 2006
MORGAN STANLEY & CO. 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
Series 55
Date: 11/11/2004
Limited Representative-Equity Trader ExamCurrent Firm
TPC CAPITAL MANAGEMENT, LLC
CRD#: 159912 / SEC#:
Contact information
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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