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JE

Juan D. Espinosa

APTO PARTNERS
Mendham, NJ 07945
Some features on this profile are disabled
CRD#: 3268752
JE

Professional summary

Juan Diego Espinosa is a registered financial professional currently at APTO PARTNERS, LLC located in Mendham, New Jersey.

Juan is registered as a RR (Registered Representative) and started their career in finance in 1999. Juan has worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Juan Diego Espinosa's CRS (Customer Relationship Summary).

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

Current

July 25, 2011 - Present

APTO PARTNERS, LLC

Office #1: 5 Cold Hill Road South Suite 11, Mendham, NJ 07945Office #2: 5 Cold Hill Road South Suite 11, Mendham, NJ 07945
BD
CRD#: 155843
Mendham, NJ
Past

April 23, 2007 - October 4, 2010

CABRERA CAPITAL MARKETS, LLC

BD
CRD#: 10081
NEW YORK, NY
Past

August 20, 2003 - May 4, 2007

BLAYLOCK & COMPANY, INC.

BD
CRD#: 35669
NEW YORK, NY
Past

September 30, 1999 - February 14, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/4/2011)
RR
New Jersey
(8/3/2011)
RR
New York
(8/3/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 8/25/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/18/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 28
Date: 10/1/2016
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/16/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AP
APTO PARTNERS, LLC
APTO PARTNERS, LLC

CRD#: 155843 / SEC#: , 8-68746

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

Main Address
5 Cold Hill Road South Suite 11, Mendham, NJ 07945
Mailing Address
5 Cold Hill Road South Suite 11, Mendham, NJ 07945
Phone number
(973) 543-6600
Established
New Jersey since 10/05/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ESPINOSA, JUAN DIEGOPRESIDENT & CEO, CFO, CCO / SOLE MANAGING MEMBER3268752

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

APTO PARTNERS, LLC

CRD#: 155843Mendham, NJ 07945

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