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SC

Stalin A. Cruz

Some features on this profile are disabled
CRD#: 2503461
SC

Professional summary

Stalin Alfredo Cruz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stalin is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Stalin had worked at 10 firms, which includes SW FINANCIAL, WINDSOR STREET CAPITAL LP, ALEXANDER CAPITAL L.P., ANDREW GARRETT INC., AMERICAN COLONIAL CORPORATION, LLOYD SCOTT & VALENTI LTD., DONALD & CO. SECURITIES INC., RICKEL & ASSOCIATES INC., H.J. MEYERS & CO. INC., INVESTORS ASSOCIATES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alfredo Stalin Cruz | Alfredo Cruz

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)

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

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

Past

September 20, 2018 - May 11, 2023

SW FINANCIAL

BD
CRD#: 145012
MELVILLE, NY
Past

June 8, 2017 - April 19, 2018

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

April 9, 2013 - February 22, 2016

ALEXANDER CAPITAL, L.P.

BD
CRD#: 40077
RED BANK, NJ
Past

February 8, 2006 - February 5, 2013

ANDREW GARRETT INC.

BD
CRD#: 29931
NEW YORK, NY
Past

June 16, 2004 - October 28, 2004

AMERICAN COLONIAL CORPORATION

BD
CRD#: 103906
WESTPORT, CT
Past

September 6, 2002 - May 27, 2004

LLOYD, SCOTT & VALENTI, LTD.

BD
CRD#: 23640
AUSTIN, TX
Past

April 22, 1996 - September 10, 2002

DONALD & CO. SECURITIES INC.

BD
CRD#: 7776
TINTON FALLS, NJ
Past

August 8, 1995 - May 20, 1996

RICKEL & ASSOCIATES, INC.

BD
CRD#: 7839
NEW YORK, NY
Past

February 13, 1995 - March 31, 1995

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY
Past

July 29, 1994 - November 18, 1994

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/24/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/27/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/28/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/5/2001
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/3/2000
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/22/2000
General Securities Principal Examination

Current Firm

SF
SW FINANCIAL
SALOMON WHITNEY FINANCIAL | SW FINANCIAL | SALOMON WHITNEY LLC

CRD#: 145012 / SEC#: , 8-67688

BD
Postponed Effective by SEC on 05/16/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 06/11/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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Documents

Direct owners and executive officers

NamePositionCRD#
ANGIA HOLDINGS, LLC75.1% OWNER

Disclosures

Regulatory Event7
Arbitration7

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

SW FINANCIAL

CRD#: 145012

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