Adam A. Aulestia

AULESTIA VENTURES

Naples, FL 34102

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CRD#: 4545056

Professional summary

Adam Alexander Aulestia, CFP® is a registered financial advisor currently at AULESTIA VENTURES located in Naples, Florida.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Adam has worked at 5 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Adam Alexander Aulestia is an independent licensed insurance agent. Adam Alexander Aulestia is a member of Independent Marketing Organization, which services, holds and sells Fixed Indexed Annuities. Located at 301 Fourth Street, Suite B6, Annapolis, MD 21403.Start date with business: 2019-06-24; Hours devoted to business during trading hours: 1; Hours devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 0; Adam Alexander Aulestia is Partner of Virtual Bridge LLC, an entity which participates in private investment activities. Located at 551 Beach Drive, Annapolis, MD 21403. Start date with business: 2019-06-25; Hours devoted to business during trading hours: 1; Hours devoted to business outside trading hours: 2; Percentage of total yearly compensation expected to be derived from the business: 0; AAdam Aulestia acts as an organizer to multiple Special Purpose Vehicles ("SPVs"), which are organized to invest in private companies. Start of business: 07/09/2021. 1 hour a month is dedicated to this activity during trading hours and 2 hour a month is dedicated to this activity outside of trading hours. He receives no yearly compensation for this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Alexander Aulestia'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

April 30, 2019 - Present

AULESTIA VENTURES

Office #1: 780 Fifth Avenue South Suite 200, Naples, FL 34102

RIA

CRD#: 300531

Naples, FL

Past

September 4, 2009 - May 14, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

ANNAPOLIS, MD

Past

September 4, 2009 - May 14, 2019

LPL FINANCIAL LLC

CRD#: 6413

ANNAPOLIS, MD

Past

June 1, 2009 - September 9, 2009

MORGAN STANLEY

RIA

CRD#: 149777

BALTIMORE, MD

Past

June 1, 2009 - September 9, 2009

MORGAN STANLEY

CRD#: 149777

BALTIMORE, MD

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BALTIMORE, MD

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

BALTIMORE, MD

Past

August 19, 2002 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BALTIMORE, MD

Past

July 30, 2002 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

BALTIMORE, MD

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(8/19/2021)

IAR

Maryland
(4/30/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/15/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/21/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/29/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/29/2009

General Securities Principal Examination

Current Firm

AULESTIA VENTURES

AULESTIA VENTURES | AULESTIA WEALTH MANAGEMENT, INC.

CRD#: 300531 / SEC#:

Florida

Registered Investment Advisory firm - (8/19/2021 Approved)

Maryland

Registered Investment Advisory firm - (4/30/2019 Approved)

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Contact information

Main Address

780 Fifth Avenue South Suite 200, Naples, FL 34102

Mailing Address

Phone number

(239) 261-9033

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	127
AUM (Assets Under Management)	$ 98,743,910

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.

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Adam A. Aulestia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Alexander Aulestia's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/15/2002

SIE

Date: 10/1/2018

Series 31

Date: 8/21/2002

Series 7

Date: 7/29/2002

Series 24

Date: 10/29/2009

Current Firm

AULESTIA VENTURES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AULESTIA VENTURES

TRUST BUT VERIFY

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