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Deena J Espinosa

Cetera Investment Services LLC

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About Deena J Espinosa

Deena J. Espinosa is a financial professional with over 20 years of experience in the industry. Deena Espinosa has a broad range of experience, having previously worked for firms like Wachovia Securities, LLC and First Union Brokerage Services, Inc. Deena Espinosa is currently registered with Cetera Investment Services LLC and holds FINRA Series 6, 7, 24, and 63 licenses. Deena Espinosa is also registered in Florida and Georgia.

Firm Information

Deena Espinosa is currently registered with Cetera Investment Services LLC. Cetera Investment Services LLC is a Limited Liability Company formed on November 30, 2012, and approved to operate in 53 states and the District of Columbia. The firm has 1 approved SEC registration and 53 approved state registrations. Cetera Investment Services LLC has a history of regulatory events (11 reported) and arbitration disclosures (3 reported).

Not reported

Assets Under Management

Not reported

Total Clients

372

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Deena Espinosa’s Registration & Firm History

FL

02/10/2014 - Present

Cetera Investment Services LLC (ORLANDO FL)

FL

10/16/2000 - 04/17/2006

WACHOVIA SECURITIES, LLC (ORLANDO FL)

NC

12/06/1993 - 12/06/1998

FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)

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Licenses & Designations

BC

Issued 04/09/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/29/2014

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/10/2014

Series 7 - General Securities Representative Examination

BC

Issued 12/03/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Deena J Espinosa. Review regulatory record here.
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