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JA

Jason A. Aleksa

NATWEST MARKETS SECURITIES
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 4894691
JA

Professional summary

Jason Adam Aleksa, who also goes by Jason Aleksa, Jason Adam Aleksa, is a registered financial professional currently at NATWEST MARKETS SECURITIES INC. located in Stamford, Connecticut.

Jason is registered as a RR (Registered Representative) and started their career in finance in 2009. Jason has worked at 3 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jason Aleksa | Jason Adam Aleksa

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 Jason Adam Aleksa'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

January 6, 2023 - Present

NATWEST MARKETS SECURITIES INC.

Office #1: 600 Washington Boulevard, Stamford, CT 06901
BD
CRD#: 11707
Stamford, CT
Past

April 15, 2019 - December 6, 2022

PEOPLE'S SECURITIES, INC.

BD
CRD#: 13704
BRIDGEPORT, CT
Past

September 16, 2009 - December 22, 2017

UBS SECURITIES LLC

BD
CRD#: 7654
STAMFORD, CT

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
Connecticut
(1/6/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/19/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 10/20/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 12/22/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NM
NATWEST MARKETS SECURITIES INC.
GREENWICH CAPITAL MARKETS INC | RBS SECURITIES INC. | RBS GREENWICH CAPITAL | NATWEST MARKETS SECURITIES INC. | NATWEST MARKETS (A MARKETING NAME FOR RBS SECURITIES INC.) | GREENWICH CAPITAL MARKETS, INC.

CRD#: 11707 / SEC#: , 8-37135

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

Main Address
600 Washington Boulevard, Stamford, CT 06901
Mailing Address
600 Washington Boulevard, Stamford, CT 06901
Phone number
(203) 897-2700
Established
Delaware since 11/07/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
RBS HOLDINGS USA INC.SHAREHOLDER
AUSBURN, MICHAEL THOMASDIRECTOR / CHIEF FINACIAL OFFICER2523037
BROWER, LISASECRETARY, GENERAL COUNSEL6177644
BUCCI, MICHELLE ACHIEF OPERATING OFFICER5192971
DESIMONE, LISA MARIECHIEF COMPLIANCE OFFICER2691368
GIRARD, MICHELLE COLLEYPRESIDENT / CHIEF EXECUTIVE OFFICER2185240
ROOSE, SCOTTDIRECTOR2539705
SPEZZANO, CASEY RYANDIRECTOR4678231

Disclosures

Regulatory Event43
Civil Event4

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

NATWEST MARKETS SECURITIES INC.

CRD#: 11707Stamford, CT 06901

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