Humberto Cruz
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.
Humberto Cruz was a registered financial professional .
Humberto is a previously registered financial professional and started their career in finance in 1981. Humberto had worked at 8 firms and has passed the Series 63, Series 7TO, Series 57TO, 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
April 16, 2019 - November 4, 2020
CABRERA CAPITAL MARKETS, LLC
February 27, 2019 - April 4, 2019
MARCO POLO SECURITIES INC.
October 12, 2017 - February 22, 2018
BERNARD HEROLD & CO., INC.
September 29, 2007 - February 29, 2012
AUERBACH GRAYSON & COMPANY LLC
June 23, 1995 - January 11, 1996
DAVID J. GREENE AND COMPANY, LLC
September 1, 1994 - November 28, 1994
REICH & TANG DISTRIBUTORS, INC.
July 31, 1992 - August 12, 1993
S.G. WARBURG & CO. INC.
April 13, 1981 - April 2, 1993
MORGAN STANLEY DW 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
Series 7TO
Date: 10/6/2022
General Securities Representative ExaminationSeries 57TO
Date: 10/6/2022
Securities Trader ExamCurrent Firm
CABRERA CAPITAL MARKETS, LLC
CRD#: 10081 / SEC#: , 8-26406
Contact information
FINRA licenses (30 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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