Beatrice Bocean-silva
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.
Beatrice Bocean-silva, who also goes by Beatrice Bocean, was a registered financial professional .
Beatrice is a previously registered financial professional and started their career in finance in 2009. Beatrice had worked at 4 firms and has passed the Series 66, SIE, Series 50, Series 7 and Series 24 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, 2019 - February 26, 2020
PTMA INVESTMENT ADVISORS
April 10, 2015 - May 29, 2019
PRUDENT MAN ADVISORS, INC.
January 15, 2014 - February 26, 2020
PMA SECURITIES, LLC
February 22, 2010 - December 23, 2013
UBS FINANCIAL SERVICES INC.
December 8, 2009 - December 23, 2013
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
PTMA INVESTMENT ADVISORS
CRD#: 301973 / SEC#: 801-115313
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
PTMA INVESTMENT ADVISORS
CRD#: 301973 / SEC#: 801-115313
Contact information
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 504 |
| AUM (Assets Under Management) | $ 27,791,353,702 |
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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