Luis R. Perna
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.
Luis Raul Perna, who also goes by Luis Perna, was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 2018. Luis had worked at 2 firms and has passed the Series 66, Series 7TO, 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
April 5, 2022 - October 28, 2022
HIGHRISE WEALTH MANAGEMENT
December 20, 2019 - December 22, 2021
EQUITABLE ADVISORS, LLC
March 16, 2018 - December 22, 2021
EQUITABLE ADVISORS, 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
Series 7TO
Date: 7/18/2019
General Securities Representative ExaminationCurrent Firm
HIGHRISE WEALTH MANAGEMENT
CRD#: 316327 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 135 |
| AUM (Assets Under Management) | $ 17,644,777 |
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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