Luis M. Dominguez
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.
Luis M Dominguez was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 2007. Luis had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 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
October 21, 2015 - December 18, 2015
BMO HARRIS FINANCIAL ADVISORS, INC.
October 21, 2015 - June 30, 2017
BMO HARRIS FINANCIAL ADVISORS, INC.
July 15, 2011 - October 20, 2015
PNC WEALTH MANAGEMENT LLC
April 8, 2011 - October 20, 2015
PNC WEALTH MANAGEMENT LLC
October 4, 2007 - March 9, 2011
CHASE INVESTMENT SERVICES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
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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