Humberto D. Sirvent
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.
Humberto David Sirvent, who also goes by David Sirvent, was a registered financial professional .
Humberto is a previously registered financial professional and started their career in finance in 2005. Humberto had worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2016 - October 17, 2025
ENTORO SECURITIES, LLC
February 11, 2014 - June 23, 2014
TEXAS E&P PARTNERS, INC.
July 25, 2008 - February 7, 2014
UBS FINANCIAL SERVICES INC.
July 25, 2008 - February 7, 2014
UBS FINANCIAL SERVICES INC.
June 15, 2005 - July 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 15, 2005 - July 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 28, 2005 - June 13, 2005
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ENTORO SECURITIES, LLC
CRD#: 35192 / SEC#: , 8-46630
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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