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JA

Jacqueline Aguece

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CRD#: 4235825
JA

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.

Jacqueline Aguece was a registered financial professional .

Jacqueline is a previously registered financial professional and started their career in finance in 2002. Jacqueline had worked at 2 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

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)

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

September 15, 2004 - January 3, 2014

CITICORP SECURITIES SERVICES, INC.

BD
CRD#: 15387
NEW YORK, NY
Past

May 29, 2002 - January 3, 2014

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
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

State Security Law Exam
RR
Series 63
Date: 10/7/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/28/2002
General Securities Representative Examination

Current Firm

CS
CITICORP SECURITIES SERVICES, INC.
CITICORP SECURITIES SERVICES, INC. | NEWBRIDGE SECURITIES INC.

CRD#: 15387 / SEC#: , 8-32117

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

Main Address
390 - 388 Greenwich Street 388 Greenwich Street, New York, NY 10013
Mailing Address
Registration Department 540 Crosspoint Parkway, Getzville, NY 14068
Phone number
(212) 723-7600
Established
Delaware since 04/16/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CITIGROUP FINANCIAL PRODUCTS INC.100% SHAREHOLDER
BARRATT, CHRISTOPHERCHIEF OPERATIONS OFFICER5659131
BROPHY, RYAN JAMESCCO2668207
CONWAY, JOHN JAMESCHIEF FINANCIAL OFFICER (FINOP)1584619
LARA, PABLO IDIRECTOR5398044
MAILLEUX, SEBASTIEN ANDRE PAULDIRECTOR7545656
MAILLEUX, SEBASTIEN ANDRE PAULCHIEF EXECUTIVE OFFICER/CHAIRMAN/PRESIDENT7545656
WADE, WILLIAM THOMASDIRECTOR2095481

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

CITICORP SECURITIES SERVICES, INC.

CRD#: 15387

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