Emiliano Rios Caban

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CRD#: 5501141

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.

Emiliano Rios Caban, who also goes by Emiliand Rios, Jon Rios, Emiliano Rios, was a registered financial professional .

Emiliano is a previously registered financial professional and started their career in finance in 2008. Emiliano had worked at 15 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Emiliand Rios | Jon Rios | Emiliano Rios

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Co-founder of Specifically Vague Co, LLC, a legal and compliance thought leadership platform. Specifically Vague is not investment related, is not affiliated with any securities business or any of its affiliates, and hours worked per month are approximately 10, none of which are during trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 11, 2024 - October 17, 2025

MERCURY INVESTMENT SERVICES LLC

CRD#: 324657

New York City, NY

Past

June 7, 2024 - October 17, 2025

MERCURY ADVISORY, LLC

RIA

CRD#: 308960

NYC, NY

Past

September 21, 2023 - October 11, 2024

FRUITFUL

RIA

CRD#: 322603

NEW YORK, NY

Past

July 21, 2022 - April 13, 2023

SECFI ADVISORY LIMITED

RIA

CRD#: 306961

NEW YORK, NY

Past

January 27, 2022 - April 13, 2023

SECFI SECURITIES, LLC

CRD#: 302112

NEW YORK, NY

Past

November 7, 2019 - September 11, 2020

M1 FINANCE

RIA

CRD#: 249787

CHICAGO, IL

Past

August 12, 2019 - September 11, 2020

M1 FINANCE LLC

CRD#: 281242

CHICAGO, IL

Past

January 25, 2017 - May 7, 2018

WEALTHFRONT ADVISERS LLC

RIA

CRD#: 148456

REDWOOD CITY, CA

Past

January 24, 2017 - May 7, 2018

WEALTHFRONT BROKERAGE LLC

CRD#: 153407

Redwood City, CA

Past

March 1, 2016 - December 20, 2016

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Lone Tree, CO

Past

March 1, 2016 - December 20, 2016

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 18, 2014 - February 11, 2016

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 137115

CHICAGO, IL

Past

April 18, 2014 - February 11, 2016

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

CHICAGO, IL

Past

October 10, 2012 - April 1, 2014

B. C. ZIEGLER AND COMPANY

RIA

CRD#: 61

CHICAGO, IL

Past

October 10, 2012 - April 1, 2014

B. C. ZIEGLER AND COMPANY

CRD#: 61

CHICAGO, IL

Past

September 5, 2012 - October 4, 2012

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

CHICAGO, IL

Past

September 5, 2012 - October 4, 2012

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CHICAGO, IL

Past

January 31, 2011 - April 27, 2012

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

CHICAGO, IL

Past

November 8, 2010 - April 27, 2012

MML INVESTORS SERVICES, LLC

CRD#: 10409

CHICAGO, IL

Past

June 28, 2010 - October 15, 2010

THE HUNTINGTON INVESTMENT COMPANY

RIA

CRD#: 16986

COLUMBUS, OH

Past

August 26, 2008 - October 15, 2010

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

COLUMBUS, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/24/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 5/7/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/25/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 5/26/2010

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/22/2008

General Securities Principal Examination

Current Firm

MERCURY INVESTMENT SERVICES LLC

CRD#: 324657 / SEC#: , 8-71052

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

333 Bush Street Suite 1900, San Francisco, CA 94104

Mailing Address

548 Market St Pmb 17471, San Francisco, CA 94104-5401

Phone number

(800) 503-3724

Established

Delaware since 01/11/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MERCURY TECHNOLOGIES INC	MEMBER
BARRY, MICHELLE ALEJANDRA	CEO	6967071
GOLDSMITH, DAVID RYAN	CCO	6934656
SILVESTRO, MICHELE ANN	FINOP	6960939

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.

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Advisor Monitoring

Firm Stability Insights

Emiliano Rios Caban

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERCURY ADVISORY, LLC

FRUITFUL

SECFI ADVISORY LIMITED

SECFI SECURITIES, LLC

M1 FINANCE

M1 FINANCE LLC

WEALTHFRONT ADVISERS LLC

WEALTHFRONT BROKERAGE LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

B. C. ZIEGLER AND COMPANY

B. C. ZIEGLER AND COMPANY

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

THE HUNTINGTON INVESTMENT COMPANY

THE HUNTINGTON INVESTMENT COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 6/24/2010

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 5/7/2018

Series 7

Date: 8/25/2008

Series 14

Date: 1/2/2023

Series 53

Date: 5/26/2010

Series 24

Date: 12/22/2008

Current Firm

MERCURY INVESTMENT SERVICES LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MERCURY INVESTMENT SERVICES LLC

TRUST BUT VERIFY

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