Mario A. Peralta Guzman
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.
Mario Andres Peralta Guzman, who also goes by Mario Andres Peralta-guzman, was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 2023. Mario had worked at 3 firms and has passed the Series 66, Series 7TO 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
February 29, 2024 - November 4, 2024
TUDOR ADVISORS LLC
February 28, 2024 - November 4, 2024
TUDOR SECURITIES, LLC
May 17, 2023 - November 15, 2023
CREDICORP CAPITAL LLC
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 5/17/2023
General Securities Representative ExaminationCurrent Firm
TUDOR ADVISORS LLC
CRD#: 297885 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 88 |
| AUM (Assets Under Management) | $ 40,210,116 |
Red Flags
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