Soren C. Llanes
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.
Soren Castaneda Llanes, CFP® was a registered financial professional .
Soren is a previously registered financial professional and started their career in finance in 2005. Soren had worked at 6 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2015 - April 17, 2017
CAPITAL ONE ADVISORS, LLC
December 9, 2015 - April 17, 2017
CAPITAL ONE INVESTING, LLC
February 23, 2012 - December 2, 2015
WELLS FARGO CLEARING SERVICES, LLC
August 2, 2010 - December 2, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 11, 2010 - August 16, 2010
MORGAN STANLEY
May 6, 2010 - August 16, 2010
MORGAN STANLEY
October 11, 2006 - April 30, 2010
UBS FINANCIAL SERVICES INC.
October 10, 2006 - April 30, 2010
UBS FINANCIAL SERVICES INC.
October 4, 2005 - February 3, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
September 14, 2005 - February 3, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
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
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
Documents
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.
