Benjamin Vivas
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.
Benjamin Vivas was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2007. Benjamin had worked at 5 firms and has passed the Series 66 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
January 26, 2012 - July 2, 2012
CGIS SECURITIES LLC
January 14, 2011 - January 10, 2012
HSBC SECURITIES (USA) INC.
January 3, 2011 - January 10, 2012
HSBC SECURITIES (USA) INC.
January 26, 2010 - December 8, 2010
CITIGROUP GLOBAL MARKETS INC.
January 21, 2010 - December 8, 2010
CITIGROUP GLOBAL MARKETS INC.
May 29, 2009 - September 29, 2009
STONEX INTERNATIONAL SECURITIES INC.
August 20, 2007 - July 31, 2008
VALLEY FINANCIAL MANAGEMENT, INC.
May 15, 2007 - July 31, 2008
VALLEY FINANCIAL MANAGEMENT, 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
CGIS SECURITIES LLC
CRD#: 155984 / SEC#: , 8-68758
Contact information
FINRA licenses (6 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.
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