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Jesse Anthony Aguilar

CRD# 2258234·Registered 1992 - 1997
Barred: Jesse Anthony Aguilar was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Jesse Anthony Aguilar was a registered financial advisor. Jesse was a previously registered financial professional and started their career in finance 1992 - 1997. Jesse had worked at 6 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

33 years in the financial services industry

Current & Past Employments

NOVA FINANCIAL, INC.·CRD# 29592
BD
January 22, 1997 - April 29, 1997
PROSPERA FINANCIAL SERVICES, INC.·CRD# 10740
BD
Dallas, TX
August 16, 1996 - November 27, 1996
ROTH CAPITAL PARTNERS, LLC·CRD# 15407
BD
Newport Beach, CA
February 13, 1996 - September 3, 1996
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
February 27, 1995 - January 26, 1996
SUTRO & CO. INCORPORATED·CRD# 801
BD
San Francisco, CA
September 21, 1993 - February 21, 1995
CIBC WORLD MARKETS CORP.·CRD# 630
BD
New York, NY
December 17, 1992 - September 9, 1993

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Current Firm

NF
NOVA FINANCIAL, INC.

GRIFFITHS & COMPANY, INC. | NOVA FINANCIAL, INC.

CRD#: 29592 / SEC#: 8-44415
BD
Cancelled by SEC on 02/24/1998

Contact Information

Established

Utah since 12/18/1991

Firm Type

Corporation

Fiscal Year End

December

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1993About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1992About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JA
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