Williams A. Juarez
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.
Williams Alejandro Juarez, who also goes by Williams A Juarez, was a registered financial professional .
Williams is a previously registered financial professional and started their career in finance in 2013. Williams had worked at 2 firms and has passed the SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2014 - June 15, 2016
HOCKING CAPITAL, LLC
November 26, 2013 - May 22, 2014
CANTOR FITZGERALD & CO.
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
HOCKING CAPITAL, LLC
CRD#: 148088 / SEC#: , 8-67963
Contact information
Documents
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.
