Sergio Zepeda
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.
Sergio Zepeda was a registered financial professional .
Sergio is a previously registered financial professional and started their career in finance in 2007. Sergio had worked at 5 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
August 17, 2018 - July 25, 2019
USAA FINANCIAL ADVISORS, INC.
December 21, 2015 - April 19, 2017
VALIC FINANCIAL ADVISORS, INC.
April 23, 2014 - December 22, 2015
ALLSTATE FINANCIAL SERVICES, LLC
February 21, 2008 - April 10, 2014
FSC SECURITIES CORPORATION
February 19, 2007 - February 20, 2008
MONEY CONCEPTS CAPITAL CORP
State Registrations and Notice Filings
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Exams
Current Firm
USAA FINANCIAL ADVISORS, INC.
CRD#: 129035 / SEC#: , 8-66197
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.
