Ester Y. Cruz
Professional summary
Ester Y Cruz, who also goes by Ester Yoana Cruz Perez, is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Phoenix, Arizona.
Ester is registered as a RR (Registered Representative) and started their career in finance in 2021. Ester has worked at 3 firms and has passed the Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ester Y Cruz's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 18, 2024 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 18444 N. 25th Ave, Suite 410, Phoenix, AZ 85023January 4, 2021 - July 19, 2023
EMPOWER FINANCIAL SERVICES, INC.
January 1, 2021 - January 4, 2021
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 6TO
Date: 12/28/2020
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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