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Angel Manuel Pabon

CRD# 2729491·Registered 2001 - 2013
Previously Registered: Being a previously registered professional could mean that Angel is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Angel Manuel Pabon, who also goes by Angel Manuel Pabon, was a registered financial advisor. Angel was a previously registered financial professional and started their career in finance 2001 - 2013. Angel had worked at 4 firms and has passed the Series 25 exam.

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

Angel Manuel Pabon

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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

26 years in the financial services industry

Current & Past Employments

DIRECT ACCESS PARTNERS LLC·CRD# 120950
BD
New York, NY
March 18, 2011 - May 21, 2013
RAYMOND C. FORBES & CO., INC.·CRD# 33090
BD
New York, NY
April 24, 2007 - March 15, 2011
SLL SECURITIES INC·CRD# 32859
BD
New York, NY
November 11, 2003 - April 24, 2007
CHB SECURITIES CORP.·CRD# 41557
BD
New York, NY
November 20, 2001 - November 10, 2003
CHB SECURITIES CORP.·CRD# 41557
BD
New York, NY
May 2, 2001 - November 15, 2001

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Current Firm

DA
DIRECT ACCESS PARTNERS LLC

DIRECT ACCESS GROUP LLC | DIRECT ACCESS PARTNERS LLC

CRD#: 120950 / SEC#: 8-65361
BD
Cancelled by SEC on 10/26/2016

Contact Information

Established

New York since 04/18/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
DIRECT ACCESS GROUP LLCSOLE MANAGING MEMBER—
GETTENBERG, GARYCHIEF FINANCIAL OFFICER1973696
ROMAN, ELLIOTT MARCELCHIEF COMPLIANCE OFFICER2670426
ROMAN, ELLIOTT MARCELCOO2670426

Disclosures

Regulatory Event

4

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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 25 — NYSE Trading Assistant Examination

Passed Jan 2000

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CRS (Client Relationship Summary)

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

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