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Macdonald S. Budd

ASL CAPITAL MARKETS
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 1572907
MB

Professional summary

Macdonald Smith Budd is a registered financial professional currently at ASL CAPITAL MARKETS INC. located in Stamford, Connecticut.

Macdonald is registered as a RR (Registered Representative) and started their career in finance in 1986. Macdonald has worked at 5 firms and has passed the Series 63, Series 72, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Macdonald Smith Budd's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 5, 2019 - Present

ASL CAPITAL MARKETS INC.

Office #1: 600 Summer Street Suite 402, Stamford, CT 06901
BD
CRD#: 286115
Stamford, CT
Past

February 23, 2012 - July 17, 2017

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

July 14, 2009 - December 5, 2011

MF GLOBAL INC.

BD
CRD#: 6731
NEW YORK, NY
Past

April 28, 2003 - May 4, 2009

UBS SECURITIES LLC

BD
CRD#: 7654
STAMFORD, CT
Past

September 1, 1998 - May 9, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 22, 1986 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(1/2/2020)
RR
Alaska
(1/2/2020)
RR
Arizona
(1/2/2020)
RR
Arkansas
(1/2/2020)
RR
California
(1/2/2020)
RR
Colorado
(1/2/2020)
RR
Connecticut
(7/5/2019)
RR
Delaware
(1/2/2020)
RR
District of Columbia
(1/2/2020)
RR
Florida
(1/2/2020)
RR
Georgia
(1/2/2020)
RR
Idaho
(1/2/2020)
RR
Illinois
(1/2/2020)
RR
Indiana
(1/2/2020)
RR
Iowa
(1/2/2020)
RR
Kansas
(1/2/2020)
RR
Kentucky
(1/2/2020)
RR
Louisiana
(1/2/2020)
RR
Maine
(1/2/2020)
RR
Maryland
(1/2/2020)
RR
Massachusetts
(1/2/2020)
RR
Michigan
(1/2/2020)
RR
Minnesota
(1/2/2020)
RR
Mississippi
(1/2/2020)
RR
Missouri
(1/2/2020)
RR
Montana
(1/2/2020)
RR
Nebraska
(1/2/2020)
RR
Nevada
(1/2/2020)
RR
New Hampshire
(1/2/2020)
RR
New Jersey
(1/2/2020)
RR
New Mexico
(1/2/2020)
RR
New York
(1/2/2020)
RR
North Carolina
(1/2/2020)
RR
North Dakota
(1/2/2020)
RR
Ohio
(1/2/2020)
RR
Oklahoma
(1/2/2020)
RR
Oregon
(1/2/2020)
RR
Pennsylvania
(1/2/2020)
RR
Rhode Island
(1/2/2020)
RR
South Carolina
(1/2/2020)
RR
South Dakota
(1/2/2020)
RR
Tennessee
(1/2/2020)
RR
Texas
(1/2/2020)
RR
Utah
(1/2/2020)
RR
Vermont
(1/2/2020)
RR
Virginia
(1/2/2020)
RR
Washington
(1/2/2020)
RR
West Virginia
(1/2/2020)
RR
Wisconsin
(1/2/2020)
RR
Wyoming
(1/2/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 11/26/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/17/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/31/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ASL CAPITAL MARKETS INC.
ASL CAPITAL MARKETS INC.

CRD#: 286115 / SEC#: , 8-69872

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
600 Summer Street Suite 402, Stamford, CT 06901
Mailing Address
600 Summer Street Suite 402, Stamford, CT 06901
Phone number
(203) 388-2940
Established
Delaware since 09/20/2016
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALADIN SECURED LENDING INCSOLE SHAREHOLDER
GERHARD, EVAN NATHANIELCEO AND PRESIDENT4703417
NEILL, JAMES KERBYCCO6571606
TUITE, ROBERT KEVINCFO/FINOP2862493

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.

Company Information

ASL CAPITAL MARKETS INC.

CRD#: 286115Stamford, CT 06901

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