Luis G. Sarmiento
Professional summary
Luis Guillermo Sarmiento was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Luis is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Luis had worked at 2 firms, which includes INVESTORS ST., AMERICAN FIRST CAPITAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2000 - September 20, 2002
INVESTORS ST.
November 3, 1999 - September 8, 2000
AMERICAN FIRST CAPITAL CORP.
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 55
Date: 2/8/2000
Limited Representative-Equity Trader ExamCurrent Firm
INVESTORS ST.
CRD#: 30779 / SEC#: , 8-45171
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELWAY, INC. | OWNER | |
| FISHER, ROMAN | OWNER | 4141858 |
| REGENCY RESOURCES, INC. | OWNER | |
| GUERTIN, PATRICK | OWNER | 4141886 |
| SHAPSS, RONALD IRWIN | OWNER | 4054995 |
| ZEITLIN, KENNETH G | OWNER | 4154015 |
| SARMIENTO, LUIS GUILLERMO | GP - SROP | 828824 |
| SARMIENTO, LUIS GUILLERMO | PRESIDENT - CEO - SROP | 828824 |
| VALLE, GEORGE F | CFO - FINANCIAL & OPERATIONS PRINCIPAL | 1916856 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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