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AJ

Ambiorix R. Jaquez

Some features on this profile are disabled
CRD#: 3266827
AJ

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.

Ambiorix Rafael Jaquez, who also goes by Aj Jaquez, was a registered financial professional .

Ambiorix is a previously registered financial professional and started their career in finance in 2000. Ambiorix had worked at 12 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Aj Jaquez

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

May 29, 2013 - August 12, 2013

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY
Past

July 24, 2012 - December 3, 2012

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
NEW YORK, NY
Past

May 31, 2012 - July 24, 2012

B.B. GRAHAM & COMPANY, INC.

BD
CRD#: 41533
MELVILLE, NY
Past

August 5, 2011 - May 31, 2012

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
MELVILLE, NY
Past

November 3, 2010 - July 15, 2011

GLOBAL ARENA CAPITAL CORP

BD
CRD#: 16871
NEW YORK, NY
Past

March 16, 2009 - November 2, 2010

PRESTIGE FINANCIAL CENTER, INC.

BD
CRD#: 30407
MELVILLE, NY
Past

February 13, 2009 - March 5, 2009

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
MELVILLE, NY
Past

January 18, 2007 - February 27, 2009

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
MELVILLE, NY
Past

November 13, 2006 - January 17, 2007

AURA FINANCIAL SERVICES, INC.

BD
CRD#: 42822
BIRMINGHAM, AL
Past

August 30, 2006 - October 4, 2006

MERCER CAPITAL LTD.

BD
CRD#: 104012
NEW YORK, NY
Past

August 29, 2005 - September 6, 2006

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
NEW YORK, NY
Past

January 12, 2004 - August 26, 2005

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

March 14, 2000 - January 21, 2004

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, 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

State Security Law Exam
RR
Series 63
Date: 3/30/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/13/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/19/2011
General Securities Principal Examination

Current Firm

LS
LEGEND SECURITIES, INC.
LEGEND SECURITIES, INC. | SPC SECURITIES, INC. | MARLIN TRADING, INC.

CRD#: 44952 / SEC#: , 8-50886

BD
Postponed Effective by SEC on 01/19/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/29/1998
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STOCKTRADE NETWORK, INC.SHARE OWNER

Disclosures

Regulatory Event22
Arbitration14

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

LEGEND SECURITIES, INC.

CRD#: 44952

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