Luis O. Fontanez
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.
Luis Oscar Fontanez was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 1979. Luis had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2017 - December 31, 2018
THE FIG GROUP, LLC
September 16, 2008 - January 3, 2017
M. RAMSEY KING SECURITIES, INC.
June 7, 2006 - September 8, 2008
MELVIN SECURITIES, L.L.C.
April 6, 2004 - March 31, 2006
JEFFERIES EXECUTION SERVICES, INC.
October 13, 1995 - March 3, 1999
GARDNER RICH, L.L.C.
May 24, 1994 - October 13, 1995
BILLINGS EQUITIES, INC.
April 23, 1991 - May 2, 1994
GRUNTAL & CO., L.L.C.
November 21, 1988 - April 29, 1991
RODMAN & RENSHAW INC.
January 29, 1988 - November 12, 1988
LASHCO, INC.
March 31, 1986 - November 17, 1987
HAAS SECURITIES CORPORATION
April 25, 1984 - December 19, 1984
AMIVEST CAPITAL, INC.
May 15, 1981 - May 23, 1988
AMIVEST CORPORATION
October 8, 1980 - June 12, 1981
HAAS SECURITIES CORPORATION
January 24, 1980 - August 3, 1980
MURIEL SIEBERT & CO., LLC
November 15, 1979 - February 4, 1980
FLEET BROKERAGE SECURITIES, INC.
May 10, 1979 - August 21, 1979
LOEB PARTNERS
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 FIG GROUP, LLC
CRD#: 133558 / SEC#: , 8-66733
Contact information
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.
