Claudio P. Gonzalez-torrejon
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.
Claudio Patricio Gonzalez-torrejon, who also goes by Claudio Patricio Gonzalez Torrejon, Claudio Patricio Gonzalez, Claudio Gonzalez, was a registered financial professional .
Claudio is a previously registered financial professional and started their career in finance in 2018. Claudio had worked at 2 firms and has passed the Series 66, 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
October 30, 2018 - June 19, 2019
SOUTHWEST INVESTMENT ADVISORS, INC.
July 30, 2018 - July 10, 2019
LPL FINANCIAL 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
Current Firm
SOUTHWEST INVESTMENT ADVISORS, INC.
CRD#: 117052 / SEC#: 801-114643
Contact information
Documents
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.
