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AA

Albert Aguiar

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CRD#: 2947566
AA
Albert Aguiar

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.

Albert Aguiar, who also goes by Albert J Aguiar, Albert Joseph Aguiar, was a registered financial professional .

Albert is a previously registered financial professional and started their career in finance in 1998. Albert had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.

Aliases

Albert J Aguiar | Albert Joseph Aguiar

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

January 19, 2024 - August 18, 2026

PRIME EXECUTIONS, INC.

BD
CRD#: 32889
NEW YORK, NY
Past

June 1, 2018 - June 13, 2022

BERENBERG CAPITAL MARKETS LLC

BD
CRD#: 156757
NEW YORK, NY
Past

February 23, 2018 - October 23, 2018

CFG CAPITAL MARKETS, LLC

BD
CRD#: 39468
BALTIMORE, MD
Past

January 19, 2016 - February 16, 2017

NEEDHAM & COMPANY, LLC

BD
CRD#: 16360
NEW YORK, NY
Past

May 19, 2014 - January 19, 2016

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NEW YORK, NY
Past

July 17, 2012 - May 8, 2014

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

January 27, 2011 - March 13, 2012

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

July 31, 2006 - October 12, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 8, 2002 - July 26, 2006

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY
Past

October 15, 1998 - October 7, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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

What does exam status mean?
State Security Law Exam
PR
Series 63
Status Unavailable
Passed: 11/9/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
PR
SIE
Status Unavailable
Passed: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
PR
Series 7
Status Unavailable
Passed: 10/12/1998
General Securities Representative Examination
General Industry/Product Exam
PR
Series 3
Status Unavailable
Passed: 10/27/1997
National Commodity Futures Examination
Principal/Supervisory Exam
PR
Series 24
Status Unavailable
Passed: 1/25/2000
General Securities Principal Examination

Current Firm

PE
PRIME EXECUTIONS, INC.
FREEDOM CAPITAL MARKETS | SILVERMAN BROTHERS, INC. | PRIME EXECUTIONS, INC. | FREEDOM STRATEGIC SOLUTIONS

CRD#: 32889 / SEC#: , 8-43985

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
40 Wall Street - 58th Floor, New York, NY 10005
Mailing Address
40 Wall Street - 58th Floor, New York, NY 10005
Phone number
(212) 980-4400
Established
Delaware since 11/12/1987
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (36 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FREEDOM HOLDING CORP.HOLDING COMPANY
CARON, WAYNE ROGERCCO1422911
CHASKIN, DAVID RCFO, FINOP, POO, PFO5306238
MATTARELLIANO, JOSEPH JRINTERIM CEO2895289

Disclosures

Regulatory Event2

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

PRIME EXECUTIONS, INC.

CRD#: 32889

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