Misael A. Guerra
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.
Misael Arnoldo Guerra, who also goes by Misael Guerra, was a registered financial professional .
Misael is a previously registered financial professional and started their career in finance in 2005. Misael had worked at 7 firms and has passed the Series 66, SIE, 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
October 18, 2012 - April 21, 2022
OFG FINANCIAL SERVICES, INC.
October 18, 2012 - April 21, 2022
OFG FINANCIAL SERVICES, INC.
February 18, 2011 - October 24, 2012
SIGNATOR INVESTORS, INC.
January 1, 2011 - October 24, 2012
SIGNATOR INVESTORS, INC.
September 10, 2008 - February 19, 2010
OSAIC FS, INC.
September 3, 2008 - February 19, 2010
OSAIC FS, INC.
December 12, 2006 - August 1, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 12, 2006 - August 1, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 24, 2006 - November 28, 2006
INVESTMENT PROFESSIONALS, INC.
May 10, 2006 - November 28, 2006
INVESTMENT PROFESSIONALS, INC.
October 20, 2005 - May 17, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 19, 2005 - May 17, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 2005 - November 5, 2005
FAM DISTRIBUTORS, INC.
Primary Firm SEC Registration
OFG FINANCIAL SERVICES, INC.
CRD#: 23940 / SEC#: 801-127727, 8-40770
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
OFG FINANCIAL SERVICES, INC.
CRD#: 23940 / SEC#: 801-127727, 8-40770
Contact information
SEC notice filing (5 States and Territories)
FINRA licenses (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 850 |
| AUM (Assets Under Management) | $ 270,000,000 |
Disclosures
| Regulatory Event | 2 |
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.
