Guillermo Vergara
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.
Guillermo Vergara was a registered financial professional .
Guillermo is a previously registered financial professional and started their career in finance in 2011. Guillermo had worked at 4 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
September 5, 2017 - November 16, 2017
ENCOMPASS MORE LLC
March 3, 2017 - June 7, 2017
PARK AVENUE SECURITIES LLC
December 21, 2016 - June 7, 2017
PARK AVENUE SECURITIES LLC
October 18, 2013 - January 29, 2015
PRINCIPAL SECURITIES, INC.
May 29, 2013 - January 29, 2015
PRINCIPAL SECURITIES, INC.
July 29, 2011 - November 3, 2011
EDWARD JONES
State Registrations and Notice Filings
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Exams
Current Firm
ENCOMPASS MORE LLC
CRD#: 288260 / SEC#: 801-110676
Contact information
Red Flags
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