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Detailed Report
LOUIS ANTHONY TINOCO JR
LOUIS TINOCO
CRD#: 2941445
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Previous Investment Adviser
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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
20032004200520062007200820092010201120122013201420152016IABARCLAYS CAPITAL INC. (CRD# 19714)2011 - 2013 (2 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2010 - 2011 (<1 year)IAATLAS ONE FINANCIAL ADVISORS, LLC (CRD# 127448)2003 - 2005 (2 years)IAATLAS ONE FINANCIAL ADVISORS, LLC (CRD# 127448)2003 - 2004 (1 year)
Disclosure(s)
View By:
8/3/2015
Regulatory
Final
Previous Registration(s)
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 03/08/2011 - 07/12/2013 BARCLAYS CAPITAL INC. (CRD#:19714) MIAMI, FL
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 06/09/2010 - 03/15/2011 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
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 10/08/2003 - 10/11/2005 ATLAS ONE FINANCIAL ADVISORS, LLC (CRD#:127448) MIAMI, FL
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 10/08/2003 - 12/31/2004 ATLAS ONE FINANCIAL ADVISORS, LLC (CRD#:127448) 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.
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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.