Jose M. Infante
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.
Jose Miguel Infante was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2007. Jose had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2014 - June 3, 2015
OCEAN FINANCIAL SERVICES, LLC
March 4, 2008 - November 27, 2013
LPL FINANCIAL LLC
November 2, 2007 - March 4, 2008
IFMG SECURITIES, INC.
February 28, 2007 - September 18, 2007
TRUIST INVESTMENT SERVICES, 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
Current Firm
OCEAN FINANCIAL SERVICES, LLC
CRD#: 164289 / SEC#: , 8-69092
Contact information
FINRA licenses (8 States and Territories)
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.
