Albert C. Sebastian

PROSPECT ADVISORS

STAMFORD, CT

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CRD#: 1911340

Professional summary

Albert Curtis Sebastian, who also goes by Al Sebastian, Albert Sebastian, is a registered financial advisor currently at PROSPECT ADVISORS, LLC located in Stamford, Connecticut.

Albert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Albert has worked at 2 firms and has passed the Series 6 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Al Sebastian | Albert Sebastian

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) - RIA

Click below to view Albert Curtis Sebastian'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

November 9, 2010 - Present

PROSPECT ADVISORS, LLC

RIA

CRD#: 155337

STAMFORD, CT

Past

September 13, 1991 - June 28, 2002

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

SAN ANTONIO, TX

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(11/9/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 6

Date: 9/11/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PROSPECT ADVISORS, LLC

CRD#: 155337 / SEC#:

Connecticut

Registered Investment Advisory firm - (11/9/2010 Approved)

New Hampshire

Registered Investment Advisory firm - (12/31/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Stamford, CT

Mailing Address

Phone number

(203) 388-8712

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 26,000,000

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.

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Albert C. Sebastian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Albert Curtis Sebastian's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROSPECT ADVISORS, LLC

USAA INVESTMENT SERVICES COMPANY

State Registrations and Notice Filings

Exams

Series 6

Date: 9/11/1991

Current Firm

PROSPECT ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROSPECT ADVISORS, LLC

TRUST BUT VERIFY

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