Jose S. Arausa
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.
Jose Samuel Arausa, who also goes by Jose S Arausa, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2008. Jose had worked at 5 firms and has passed the Series 66 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
February 25, 2010 - April 23, 2012
USAA FINANCIAL PLANNING SERVICES
February 5, 2010 - April 23, 2012
USAA FINANCIAL ADVISORS, INC.
August 28, 2009 - December 21, 2009
EQUITABLE ADVISORS, LLC
August 28, 2009 - December 21, 2009
EQUITABLE ADVISORS, LLC
March 20, 2009 - August 3, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 7, 2008 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 2008 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
USAA FINANCIAL PLANNING SERVICES
CRD#: 106352 / SEC#: 801-53347
Contact information
Red Flags
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