Michael E. 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.
Michael Eric Torres was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2007. Michael had worked at 10 firms and has passed the Series 66, 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
November 5, 2018 - June 19, 2020
USAA INVESTMENT SERVICES COMPANY
January 8, 2018 - June 19, 2020
USAA INVESTMENT SERVICES COMPANY
November 5, 2014 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
November 5, 2014 - November 8, 2018
USAA FINANCIAL ADVISORS, INC.
September 23, 2013 - September 4, 2014
PNC MANAGED ACCOUNT SOLUTIONS, INC.
May 16, 2013 - September 4, 2014
BBVA SECURITIES INC.
September 4, 2012 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
August 3, 2011 - July 13, 2012
CHASE INVESTMENT SERVICES CORP.
August 3, 2011 - July 13, 2012
CHASE INVESTMENT SERVICES CORP.
June 14, 2010 - June 23, 2011
WADDELL & REED
June 14, 2010 - June 23, 2011
WADDELL & REED
April 9, 2008 - June 30, 2010
CITIGROUP GLOBAL MARKETS INC.
April 9, 2008 - June 30, 2010
CITIGROUP GLOBAL MARKETS INC.
March 4, 2008 - April 10, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
March 3, 2008 - April 10, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
May 7, 2007 - January 30, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
March 5, 2007 - January 30, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
