Erica P. Toro Carvajal
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.
Erica Pamela Toro Carvajal, who also goes by Erica Toro Carvajal, Erica P Toro, Erica Pamela Toro, Erica Pamela Toro, Erica P Toro Carvajal, Erica Pamela Toro Carvajal, was a registered financial professional .
Erica is a previously registered financial professional and started their career in finance in 2011. Erica had worked at 5 firms and has passed the Series 66, SIE 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
September 15, 2020 - June 30, 2021
INSIGNEO ADVISORY SERVICES, LLC
September 4, 2020 - June 30, 2021
INSIGNEO SECURITIES, LLC
November 13, 2015 - May 2, 2019
UBS FINANCIAL SERVICES INC.
November 13, 2015 - May 2, 2019
UBS FINANCIAL SERVICES INC.
April 9, 2015 - November 17, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 8, 2015 - November 17, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 2014 - March 6, 2015
CITIGROUP GLOBAL MARKETS INC.
January 13, 2014 - March 6, 2015
CITIGROUP GLOBAL MARKETS INC.
December 16, 2011 - December 20, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 2011 - December 20, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
INSIGNEO ADVISORY SERVICES, LLC
CRD#: 282589 / SEC#: 801-107256
State Registrations and Notice Filings
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Exams
Current Firm
INSIGNEO ADVISORY SERVICES, LLC
CRD#: 282589 / SEC#: 801-107256
Contact information
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,142 |
| AUM (Assets Under Management) | $ 3,612,629,819 |
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.
