Armando D. Soto
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.
Armando David Soto was a registered financial professional .
Armando is a previously registered financial professional and started their career in finance in 2011. Armando had worked at 3 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
January 18, 2013 - April 19, 2013
WESTOR CAPITAL GROUP, INC.
June 5, 2012 - January 15, 2013
HALCYON CABOT PARTNERS, LTD.
September 26, 2011 - June 11, 2012
LAMPERT CAPITAL MARKETS INC.
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
WESTOR CAPITAL GROUP, INC.
CRD#: 103823 / SEC#: , 8-52311
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOHAWK MANAGEMENT CORP | SHARHOLDER | |
| EVERCORE CAPITAL ADVISORS LLC | SHAREHOLDER | |
| BACH, RICHARD HANS | PRESIDENT / CHIEF COMPLIANCE OFFICER / FINOP | 1011097 |
Disclosures
| Regulatory Event | 18 |
| Financial | 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.
