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William N. Cuervo

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CRD#: 6512825
WC

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.

William Nicholas Cuervo, who also goes by William Cuervo, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 2017. William had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

William Cuervo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 15, 2022 - January 20, 2023

LEX

BD
CRD#: 304601
NEW YORK, NY
Past

October 11, 2021 - May 24, 2022

ARETE WEALTH MANAGEMENT, LLC

BD
CRD#: 44856
New York, NY
Past

August 7, 2019 - September 15, 2021

FIRST MANHATTAN SECURITIES LLC

BD
CRD#: 1845
NEW YORK, NY
Past

October 16, 2018 - July 26, 2019

HIGHTOWER ADVISORS, LLC

RIA
CRD#: 145323
NEW YORK, NY
Past

October 11, 2018 - July 26, 2019

HIGHTOWER SECURITIES, LLC

BD
CRD#: 116681
NEW YORK, NY
Past

March 19, 2018 - October 2, 2018

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
NEW YORK, NY
Past

March 13, 2018 - October 2, 2018

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

December 18, 2017 - February 9, 2018

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEW YORK, NY
Past

June 27, 2017 - February 9, 2018

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/9/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/27/2017
General Securities Representative Examination

Current Firm

LE
LEX
LEX | LWX MARKETS LLC | LWX | LEX MARKETS LLC

CRD#: 304601 / SEC#: , 8-70411

BD
Terminated by SEC on 03/21/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/12/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LEX MARKETS CORP.SHAREHOLDER
CHUNG, MICHAEL NMNFINOP/PFO5739877
COSIO, ROMMELCCO2017788
JOHNSON, MATTHEW WALTERCHIEF EXECUTIVE OFFICER1859290

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.

Company Information

LEX

CRD#: 304601

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