Alison A. Tujague
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.
Alison Ann Tujague MRS., who also goes by Alison Ann Tujague, was a registered financial professional .
Alison is a previously registered financial professional and started their career in finance in 2012. Alison had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2012 - October 27, 2017
REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.
Primary Firm SEC Registration
REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.
CRD#: 113181 / SEC#: 801-60383
State Registrations and Notice Filings
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Current Firm
REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.
CRD#: 113181 / SEC#: 801-60383
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,399 |
| AUM (Assets Under Management) | $ 188,472,996 |
Red Flags
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