Enrique A. Alba
Professional summary
Being a previously registered professional could mean that this person 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.
Enrique Alex Alba, who also goes by Enrique Alba, was a registered financial professional .
Enrique is a previously registered financial professional and started their career in finance in 1996. Enrique had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2010 - December 20, 2013
ALBA ASSET MANAGEMENT, INC.
December 1, 2006 - August 4, 2010
QUESTAR CAPITAL CORPORATION
July 10, 2006 - August 4, 2010
QUESTAR ASSET MANAGEMENT, INC.
January 11, 2006 - June 16, 2006
USALLIANZ SECURITIES, INC.
January 4, 2006 - December 1, 2006
USALLIANZ SECURITIES, INC.
January 11, 2000 - December 31, 2005
CENTAURUS FINANCIAL, INC.
January 11, 2000 - December 31, 2005
CENTAURUS FINANCIAL, INC.
May 10, 1996 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 10, 1996 - February 1, 2000
EQUITABLE ADVISORS, LLC
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
ALBA ASSET MANAGEMENT, INC.
CRD#: 153850 / SEC#:
Contact information
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.
