Tula K. Delacruz
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.
Tula Katrina Delacruz, who also goes by Tula K Delacruz, Tula K Martinez, Tula Martinez, Tula Katrina Delacruz, was a registered financial professional .
Tula is a previously registered financial professional and started their career in finance in 2009. Tula had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2018 - December 5, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
September 2, 2014 - August 16, 2016
EMPOWER FINANCIAL SERVICES, INC.
December 17, 2012 - September 2, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
January 29, 2009 - September 9, 2011
CHASE INVESTMENT SERVICES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
CRD#: 7834 / SEC#: , 8-22992
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
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.
