Oscar Nunez
Professional summary
Oscar Nunez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Oscar is a previously registered financial professional and started their career in finance in 2012. Prior to being barred, Oscar had worked at 8 firms, which includes REID & RUDIGER LLC, J.H. DARBIE & CO. INC., BLACKBOOK CAPITAL LLC, LEGEND SECURITIES INC., WINDSOR STREET CAPITAL LP, PHX FINANCIAL INC., MAXIM GROUP LLC, OBSIDIAN FINANCIAL GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2018 - September 27, 2018
REID & RUDIGER LLC
November 19, 2015 - September 11, 2017
J.H. DARBIE & CO., INC.
February 6, 2015 - October 19, 2015
BLACKBOOK CAPITAL, LLC
January 5, 2015 - January 7, 2015
LEGEND SECURITIES, INC.
May 29, 2014 - September 12, 2014
WINDSOR STREET CAPITAL, LP
March 12, 2014 - April 7, 2014
BLACKBOOK CAPITAL, LLC
August 5, 2013 - March 11, 2014
PHX FINANCIAL, INC.
July 17, 2013 - August 7, 2013
MAXIM GROUP LLC
April 25, 2013 - July 18, 2013
LEGEND SECURITIES, INC.
December 21, 2012 - December 21, 2012
OBSIDIAN FINANCIAL GROUP, LLC
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
REID & RUDIGER LLC
CRD#: 47263 / SEC#: , 8-51721
Contact information
FINRA licenses (48 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
