Aleksander Vargas
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.
Aleksander Vargas was a registered financial professional .
Aleksander is a previously registered financial professional and started their career in finance in 2003. Aleksander had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2017 - February 16, 2018
EXECUTION ACCESS, LLC
August 30, 2017 - October 4, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 28, 2014 - April 7, 2016
EXECUTION ACCESS, LLC
July 1, 2013 - April 22, 2014
TULLETT PREBON FINANCIAL SERVICES LLC
February 3, 2010 - June 18, 2013
HSBC SECURITIES (USA) INC.
March 27, 2008 - April 7, 2009
DAIWA CAPITAL MARKETS AMERICA INC.
February 5, 2007 - May 11, 2007
NYLIFE DISTRIBUTORS LLC
November 25, 2003 - June 23, 2006
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
EXECUTION ACCESS, LLC
CRD#: 148423 / SEC#: , 8-68021
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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