Pablo Solares-rowbury
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.
Pablo Solares-rowbury, who also goes by Pablo Solares Legorreta, was a registered financial professional .
Pablo is a previously registered financial professional and started their career in finance in 2015. Pablo had worked at 2 firms and has passed the Series 66, Series 7TO, Series 79TO, Series 79, 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
June 21, 2018 - November 3, 2020
BRIDGE CAPITAL ASSOCIATES, INC.
June 3, 2015 - June 28, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 9, 2015 - June 28, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 7TO
Date: 4/16/2024
General Securities Representative ExaminationSeries 79TO
Date: 4/16/2024
Investment Banking Registered Representative ExaminationCurrent Firm
BRIDGE CAPITAL ASSOCIATES, INC.
CRD#: 143475 / SEC#: , 8-67570
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WISNIEWSKI, CAROLINE ELIZABETH | PRESIDENT, CEO, CFO, FINOP, CHIEF COMPLIANCE OFFICER, AMLCO | 1463513 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 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.
