Juan M. Cavazos Borobia
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.
Juan Manuel Cavazos Borobia, who also goes by Juan Manuel Cavazos, Juan Cavazos, Juan M Cavazos Borobia, was a registered financial professional .
Juan is a previously registered financial professional and started their career in finance in 2003. Juan had worked at 4 firms and has passed the Series 63 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
July 5, 2012 - September 5, 2013
VECTORGLOBAL WMG
December 22, 2011 - May 8, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 30, 2011 - November 18, 2011
UBS FINANCIAL SERVICES INC.
July 7, 2003 - October 4, 2005
BANORTE SECURITIES INTERNATIONAL, LTD.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VECTORGLOBAL WMG
CRD#: 32396 / SEC#: , 8-45715
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
