Institution Details

NameNOVEL SECURITIES, INC.
Former Name
Certificate Registration No.01-2016-00282
License Broker/Dealer in Securities (BD)
Mutual Fund Distributor (MFD)
Last Annual Fee PaymentNov. 29, 2018 (BD license)
Nov. 19, 2018 (MFD license)

List of Capital Market Professionals

Total 4 results.
#NameCertificate Registration No.LicenseLast Annual Payment Date
1CRUZ, JOSHUA CORNELIUS PAUL02-2016-11833Associated Person2018-11-29
2SANTOS, ENRIQUE DANIEL CABUSLAY02-2018-13247Compliance Officer2018-10-12
3YU, LAWRENCE KRISTOFFER LU02-2012-06624Salesman
Certified Investment Solicitor
2018-11-29
NEW
4YU, MARK ANTHONY LU02-2013-07895Certified Investment Solicitor2018-10-12