Victor M. Henriquez
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.
Victor Manuel Henriquez, who also goes by VIctor Manuel Henriguez, was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1980. Victor had worked at 8 firms and has passed the Series 63, Series 7, Series 15, Series 5 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2008 - February 24, 2014
PUMA CAPITAL, LLC
March 14, 2006 - January 4, 2007
MACQUARIE CAPITAL (USA) INC.
June 26, 1995 - November 17, 2005
REFCO SECURITIES, LLC
October 31, 1991 - August 3, 1999
INSIGNEO SECURITIES, LLC
October 31, 1990 - October 31, 1991
HENCORP, INC.
October 1, 1982 - February 25, 1983
LEHMAN BROTHERS INC.
January 31, 1980 - March 4, 1982
UBS FINANCIAL SERVICES INC.
January 2, 1980 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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 15
Date: 11/22/1982
Foreign Currency Options ExaminationSeries 5
Date: 10/23/1981
Interest Rate Options ExaminationCurrent Firm
PUMA CAPITAL, LLC
CRD#: 146744 / SEC#: , 8-67849
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
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.
