Maricruz Quispe Naupas
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.
Maricruz Quispe Naupas, who also goes by Maricruz Quispe, was a registered financial professional .
Maricruz is a previously registered financial professional and started their career in finance in 2020. Maricruz had worked at 2 firms and has passed the Series 99TO, Series 6TO 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
May 26, 2022 - August 9, 2023
INVEX, LLC.
October 6, 2020 - December 31, 2021
PFS INVESTMENTS 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 6TO
Date: 10/6/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
INVEX, LLC.
CRD#: 30032 / SEC#: , 8-44695
Contact information
FINRA licenses (8 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
