Ismael Torres-pizarro
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.
Ismael Torres-pizarro was a registered financial professional .
Ismael is a previously registered financial professional and started their career in finance in 2008. Ismael had worked at 5 firms and has passed the Series 66, Series 63, Series 79TO, Series 7TO, SIE, Series 7, Series 27, Series 4, Series 24, Series 14 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2022 - April 13, 2022
GAMMA SECURITIES, LLC
February 21, 2020 - April 13, 2022
GAMMA ASSET MANAGEMENT LLC
August 31, 2018 - August 20, 2019
UBS FINANCIAL SERVICES INC.
November 9, 2016 - August 20, 2019
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
November 9, 2016 - August 20, 2019
UBS FINANCIAL SERVICES INC.
October 27, 2008 - August 3, 2010
MML INVESTORS SERVICES, LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
GAMMA SECURITIES, LLC
CRD#: 298341 / SEC#: , 8-70195
Contact information
FINRA licenses (4 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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