Roberto O. Torres
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.
Roberto Octavio Torres, who also goes by Roberto Octavio Torres Luna, was a registered financial professional .
Roberto is a previously registered financial professional and started their career in finance in 2006. Roberto had worked at 4 firms and has passed the Series 63, 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
February 23, 2016 - October 13, 2016
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
April 26, 2012 - December 26, 2013
BNP PARIBAS SECURITIES CORP.
August 10, 2010 - May 2, 2012
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
October 11, 2006 - August 12, 2010
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
CRD#: 154559 / SEC#: , 8-68648
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
