Alberto Ferreiras
Professional summary
Alberto Ferreiras was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alberto is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Alberto had worked at 13 firms, which includes FIRST UNION BROKERAGE SERVICES INC., EURO-ATLANTIC SECURITIES INC., TEXAS CAPITAL SECURITIES INC., MEYERS POLLOCK ROBBINS INC., AGS FINANCIAL SERVICES INC., TOLUCA PACIFIC SECURITIES CORP., A. T. BROD & CO. INC., ROBERT TODD FINANCIAL CORP., FIRST ALLIED SECURITIES INC., EMANUEL AND COMPANY, COMMONWEALTH ASSOCIATES, GKN SECURITIES CORP., HANOVER STERLING & COMPANY LTD..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 1998 - March 17, 1998
FIRST UNION BROKERAGE SERVICES, INC.
December 3, 1996 - March 6, 1997
EURO-ATLANTIC SECURITIES INC.
July 22, 1996 - September 16, 1996
TEXAS CAPITAL SECURITIES, INC.
June 4, 1996 - May 27, 1998
MEYERS POLLOCK ROBBINS, INC.
April 8, 1996 - June 21, 1996
AGS FINANCIAL SERVICES, INC.
August 31, 1995 - April 4, 1996
TOLUCA PACIFIC SECURITIES CORP.
March 14, 1995 - September 20, 1995
MEYERS POLLOCK ROBBINS, INC.
September 21, 1994 - March 14, 1995
A. T. BROD & CO. INC.
June 24, 1994 - September 26, 1994
ROBERT TODD FINANCIAL CORP.
April 4, 1994 - June 23, 1994
FIRST ALLIED SECURITIES, INC.
August 27, 1993 - April 11, 1994
EMANUEL AND COMPANY
April 7, 1993 - September 16, 1993
COMMONWEALTH ASSOCIATES
July 7, 1992 - April 20, 1993
GKN SECURITIES CORP.
January 9, 1992 - March 12, 1992
HANOVER, STERLING & COMPANY LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIRST UNION BROKERAGE SERVICES, INC.
CRD#: 8112 / SEC#: , 8-24369
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST UNION NATIONAL BANK | STOCKHOLDER | |
| BONELLI, PAUL ANDREW | SROP | 1538780 |
| FOX, JEFFREY LAWRENCE | CHIEF FINANCIAL OFFICER | 1787925 |
| HANEY, PATRICK LEWIS | CHIEF COMPLIANCE OFFICER | 2565826 |
| HEBNER, DAVID ALLAN | SECRETARY | 2660723 |
| HUBBERT, MARK WILLIAM | CHIEF OPERATIONS OFFICER | 1802805 |
| ISABELLA, MATTHEW | CROP | 2425834 |
| LUDEMAN, DANIEL JAMES | DIRECTOR | |
| MCMULLEN, DONALD ANDREW | DIRECTOR | |
| MOODY, DWIGHT CHARLES | CEO, DIRECTOR, PRESIDENT | 1423176 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
Red Flags
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