Francisco J. Rivero Arguinzoni
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.
Francisco Jorge Rivero Arguinzoni, who also goes by Francisco Jorge Rivero, Francisco Rivero, was a registered financial professional .
Francisco is a previously registered financial professional and started their career in finance in 2005. Francisco had worked at 8 firms and has passed the Series 66, SIE 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 1, 2015 - July 1, 2015
THE LEADERS GROUP, INC.
April 10, 2015 - July 1, 2015
TLG ADVISORS, INC.
July 24, 2012 - April 17, 2013
SB ADVISORY, LLC
June 22, 2012 - April 17, 2013
IFS SECURITIES
April 12, 2011 - June 19, 2012
FAIRBRIDGE CAPITAL MARKETS
August 15, 2008 - June 4, 2009
UNIVERSAL FINANCIAL SERVICES INC.
March 16, 2005 - December 18, 2006
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
March 16, 2005 - December 18, 2006
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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