Albert L. Aviles
Professional summary
Albert Luis Aviles was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Albert is a previously registered financial professional and started their career in finance in 2014. Prior to being barred, Albert had worked at 3 firms, which includes REID & RUDIGER LLC, SPARTAN CAPITAL SECURITIES LLC, JOSEPH GUNNAR & CO. LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2020 - May 12, 2022
REID & RUDIGER LLC
July 19, 2018 - December 24, 2020
SPARTAN CAPITAL SECURITIES, LLC
January 12, 2017 - July 19, 2018
REID & RUDIGER LLC
September 20, 2016 - December 19, 2016
JOSEPH GUNNAR & CO. LLC
July 1, 2014 - September 23, 2016
REID & RUDIGER LLC
State Registrations and Notice Filings
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Exams
Series 62
Date: 7/1/2014
Corporate Securities Limited Representative ExaminationCurrent Firm
REID & RUDIGER LLC
CRD#: 47263 / SEC#: , 8-51721
Contact information
FINRA licenses (48 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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