Luis G. Farias
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 Gabriel Farias was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 2013. Luis had worked at 1 firm and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2013 - October 28, 2016
CITI ORDER ROUTING AND EXECUTION, LLC
State Registrations and Notice Filings
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Exams
Current Firm
CITI ORDER ROUTING AND EXECUTION, LLC
CRD#: 103768 / SEC#: , 8-52261
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS, INC. | OWNER | |
| ARNOLD, EDWARD RAYMOND | CHIEF COMPLIANCE OFFICER | 1876464 |
| FASANO, THOMAS JAMES | CO-PRESIDENT, GENERAL SECURITIES PRINCIPAL | 1354608 |
| GATELY, TIMOTHY HUGH | DIRECTOR | 2570328 |
| MOGILEVSKY, CHARLES ROBERT | PRINCIPAL OPERATIONS OFFICER | 1712540 |
| MOGILEVSKY, CHARLES ROBERT | CHIEF EXECUTIVE OFFICER | 1712540 |
| SALIBA, RAMSEY | PRINCIPAL FINANCIAL OFFICER / FINOP | 5358958 |
| WINCHESTER, J SLADE | CO-PRESIDENT, OPTIONS PRINCIPAL | 1762956 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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