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HT

Hector M. Torres

DC ADVISORY
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5531401
HT

Professional summary

Hector Manuel Torres is a registered financial professional currently at DC ADVISORY located in Chicago, Illinois.

Hector is registered as a RR (Registered Representative) and started their career in finance in 2008. Hector has worked at 6 firms and has passed the Series 63, SIE, Series 79TO and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Hector Manuel Torres's CRS (Customer Relationship Summary).

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

Current

September 15, 2022 - Present

DC ADVISORY

Office #1: 225 W. Wacker Drive Suite 1750, Chicago, IL 60606
BD
CRD#: 129919
Chicago, IL
Past

July 6, 2022 - September 13, 2022

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
LOS ANGELES, CA
Past

December 11, 2020 - August 10, 2022

FOCALPOINT SECURITIES, LLC

BD
CRD#: 133168
CHICAGO, IL
Past

January 28, 2011 - September 18, 2015

VALIDATE CAPITAL MARKETS, LLC

BD
CRD#: 133371
NEW YORK, NY
Past

July 7, 2010 - August 9, 2010

J.P. MORGAN CLEARING CORP.

BD
CRD#: 28432
BROOKLYN, NY
Past

December 10, 2008 - April 5, 2010

DAK CAPITAL, LLC

BD
CRD#: 145887
ROCHELLE PARK, NJ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(9/15/2022)
RR
New York
(9/15/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 9/22/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/11/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 6/8/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DA
DC ADVISORY
DAIWA CORPORATE ADVISORY LLC | SAGENT ADVISORS, LLC | SAGENT ADVISORS, INC. | SAGENT ADVISORS INC. | DCS ADVISORY LLC | DC ADVISORY US | DC ADVISORY

CRD#: 129919 / SEC#: , 8-66273

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
605 Third Avenue 11th Floor, New York, NY 10158
Mailing Address
605 Third Avenue 11th Floor, New York, NY 10158
Phone number
(212) 904-9400
Established
Delaware since 04/01/2012
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DAIWA CORPORATE ADVISORY HOLDINGS INC.SHAREHOLDER
BAYER, JONATHAN LEWISGENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER5050555
DONOHUE, JOSEPH THOMASVICE CHAIRMAN1630441
EDMONDSON, ERIC WINSTONVICE CHAIRMAN1441360
KOHR, WILLIAM EDWARDCHIEF EXECUTIVE OFFICER1563851
PACITTO, PETER JOSEPHCHIEF ADMINISTRATIVE OFFICER, CFO, FINOP1700696

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.

Company Information

DC ADVISORY

CRD#: 129919Chicago, IL 60606

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