Yermy M. Montesdeoca
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.
Yermy M Montesdeoca, who also goes by Yermy M Calatrava, Yermy Maryiux Calatrava, Yermy Maryiux Montesdeoca, Yermy Montesdeoca, was a registered financial professional .
Yermy is a previously registered financial professional and started their career in finance in 2011. Yermy had worked at 3 firms and has passed the 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
June 7, 2017 - August 28, 2017
BOREAL CAPITAL SECURITIES LLC
March 11, 2014 - February 28, 2017
J.P. MORGAN SECURITIES LLC
October 1, 2012 - March 13, 2013
J.P. MORGAN SECURITIES LLC
August 17, 2011 - October 1, 2012
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
BOREAL CAPITAL SECURITIES LLC
CRD#: 158599 / SEC#: , 8-68910
Contact information
FINRA licenses (15 States and Territories)
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.
