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LS

Luis E. Solorzano Santa Cruz

IM GLOBAL US DISTRIBUTORS LLC
Miami, FL 33130
Some features on this profile are disabled
CRD#: 6959764
LS

Professional summary

Luis Enrique Solorzano Santa Cruz is a registered financial professional currently at IM GLOBAL US DISTRIBUTORS LLC located in Miami, Florida.

Luis is registered as a RR (Registered Representative) and started their career in finance in 2018. Luis has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Luis Enrique Solorzano Santa Cruz's CRS (Customer Relationship Summary).

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

Current

November 1, 2021 - Present

IM GLOBAL US DISTRIBUTORS LLC

Office #1: 78 Sw 7th St Suite 500, Office Number #08-139, Miami, FL 33130
BD
CRD#: 299892
Miami, FL
Past

September 10, 2018 - October 5, 2021

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
Miami, FL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(11/1/2021)
RR
Florida
(11/1/2021)
RR
New York
(11/1/2021)
RR
Puerto Rico
(2/14/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/30/2018
Uniform Securities Agent 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: 9/3/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IG
IM GLOBAL US DISTRIBUTORS LLC
IM GLOBAL US DISTRIBUTORS LLC

CRD#: 299892 / SEC#: , 8-70266

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
2301 Rosecrans Avenue Suite 2150, El Segundo, CA 90245
Mailing Address
2301 Rosecrans Avenue Suite 2150, El Segundo, CA 90245
Phone number
(323) 238-4518
Established
Delaware since 12/05/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
IM GLOBAL PARTNER SASPARENT COMPANY
KELLY, JOSEPH PETER IICHIEF COMPLIANCE OFFICER6268052
SCARPATI, GERARDFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER2313132
SEELEY, JEFFREY KENTPRINCIPAL, CHIEF OPERATING OFFICER2539223

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

IM GLOBAL US DISTRIBUTORS LLC

CRD#: 299892Miami, FL 33130

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