Ismael Nibot
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.
Ismael Nibot, CIMA® was a registered financial professional .
Ismael is a previously registered financial professional and started their career in finance in 2002. Ismael had worked at 12 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2019 - November 11, 2020
AST INVESTMENT SERVICES, INC.
February 26, 2019 - April 12, 2022
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
August 27, 2018 - November 2, 2018
RESOURCE SECURITIES LLC
January 3, 2017 - August 7, 2018
MILLINGTON SECURITIES, INC.
August 7, 2015 - August 7, 2018
WBI INVESTMENTS, LLC
August 3, 2015 - December 31, 2016
QUASAR DISTRIBUTORS, LLC
May 27, 2013 - July 13, 2015
LORD, ABBETT & CO. LLC
April 23, 2013 - July 13, 2015
LORD ABBETT DISTRIBUTOR LLC
May 29, 2007 - April 3, 2013
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
January 4, 2005 - May 15, 2007
CHASE INVESTMENT SERVICES CORP.
January 4, 2005 - May 15, 2007
CHASE INVESTMENT SERVICES CORP.
October 11, 2002 - December 9, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
October 2, 2002 - December 9, 2004
IDS LIFE INSURANCE COMPANY
October 2, 2002 - December 9, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
AST INVESTMENT SERVICES, INC.
CRD#: 108897 / SEC#: 801-40532
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AST INVESTMENT SERVICES, INC.
CRD#: 108897 / SEC#: 801-40532
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27 |
| AUM (Assets Under Management) | $ 93,541,799,206 |
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.
