Alfredo E. Vargas
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.
Alfredo Enrique Vargas was a registered financial professional .
Alfredo is a previously registered financial professional and started their career in finance in 2013. Alfredo had worked at 1 firm and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2013 - September 19, 2013
MIURA CAPITAL, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MIURA CAPITAL, LLC
CRD#: 146193 / SEC#: , 8-67793
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEDRO RAUL LOPEZ REVOCABLE TRUST | SHAREHOLDER | |
| MWM HOLDINGS GROUP, INC. | SHAREHOLDER | |
| HUOP TRUST (REVOCABLE) | SHAREHOLDER | |
| D ALFONSO, ITALO | CEO | 4485045 |
| LOPEZ-JACOME, PEDRO RAUL | TRUSTEE | 4875711 |
| MENDEZ, MARCO ANTONIO | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1175827 |
| ORTEGA, HUGO RAFAEL | TRUSTEE | 4875723 |
| PINANGO DE CHENE, RICHARD JOSE | CHIEF COMPLIANCE OFFICER | 6404348 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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