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Detailed Report
LORENZO C ESTEVA
CRD#: 2170595
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2006200820102012201420162018IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2015 - 2017 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2012 - 2015 (3 years)
Disclosure(s)
View By:
2/8/2018
Customer Dispute
Settled
10/11/2017
Customer Dispute
Denied
9/25/2017
Customer Dispute
Denied
9/11/2017
Regulatory
Final
6/20/2017
Customer Dispute
Denied
6/15/2017
Customer Dispute
Settled
6/12/2017
Customer Dispute
Pending
6/6/2017
Employment Separation After Allegations
7/23/2016
Customer Dispute
Settled
12/7/2005
Customer Dispute
Denied
Previous Registration(s)
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IA
 11/23/2015 - 07/06/2017 UBS FINANCIAL SERVICES INC. (CRD#:8174) MIAMI, FL
IA
 11/15/2012 - 11/20/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MIAMI, FL
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.