Antonio L. Soler Garcia
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.
Antonio Luis Soler Garcia, who also goes by Antonio Luis Soler, was a registered financial professional .
Antonio is a previously registered financial professional and started their career in finance in 2020. Antonio had worked at 1 firm and has passed the Series 65 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2020 - June 12, 2020
THE BROUGHTON INVESTMENT GROUP, INC.
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
THE BROUGHTON INVESTMENT GROUP, INC.
CRD#: 164389 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 55 |
| AUM (Assets Under Management) | $ 19,500,000 |
Red Flags
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