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AG

Alejandro M. Guardiola

INSIGNEO SECURITIES
Miami, FL 33131
Some features on this profile are disabled
CRD#: 5141879
AG

Professional summary

Alejandro M Guardiola, who also goes by Alejandro Miguel Guardiola, Alejandro Guardiola, is a registered financial professional currently at INSIGNEO SECURITIES, LLC located in Miami, Florida.

Alejandro is registered as a RR (Registered Representative) and started their career in finance in 2006. Alejandro has worked at 6 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alejandro Miguel Guardiola | Alejandro Guardiola

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 Alejandro M Guardiola's CRS (Customer Relationship Summary).
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 31, 2024 - Present

INSIGNEO SECURITIES, LLC

Office #1: 1221 Brickell Ave 27th Floor, Miami, FL 33131
BD
CRD#: 29249
Miami, FL
Past

July 3, 2018 - March 21, 2019

WEILD & CO.

BD
CRD#: 132398
BOULDER, CO
Past

May 13, 2015 - February 9, 2018

YOSEMITE EXECUTION PARTNERS INC.

BD
CRD#: 165587
LAFAYETTE, CA
Past

October 1, 2014 - January 2, 2015

FOREM INVESTMENTS LLC

RIA
CRD#: 169636
CORAL GABLES, FL
Past

January 1, 2010 - May 20, 2013

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
MIAMI, FL
Past

January 1, 2010 - May 20, 2013

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
MIAMI, FL
Past

November 27, 2006 - January 1, 2010

UBS INTERNATIONAL INC.

RIA
CRD#: 107726
MIAMI, FL
Past

September 19, 2006 - January 1, 2010

UBS INTERNATIONAL INC.

BD
CRD#: 107726
MIAMI, FL

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
IAR
Series 66
Date: 11/22/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/8/2007
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/18/2011
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/18/2010
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

IS
INSIGNEO SECURITIES, LLC
GLOBAL INVESTOR SERVICES, L.C. | INSIGNEO SECURITIES, LLC | HENCORP, INC. AND THE BECSTONE GROUP, INC. | HENCORP, BECSTONE & CO. | HENCORP BECSTONE SECURITIES, LC

CRD#: 29249 / SEC#: , 8-44166

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

Main Address
1221 Brickell Ave 27th Floor, Miami, FL 33131
Mailing Address
1221 Brickell Ave 27th Floor, Miami, FL 33131
Phone number
(305) 373-9000
Established
Florida since 12/24/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
INSIGNEO FINANCIAL GROUP LLCMEMBER - CLASS A
INSIGNEO PUERTO RICO PARTNERSHIP HOLDINGS LLCMEMBER - CLASS B
INSIGNEO SECURITIES PARTNERSHIP HOLDINGS LLCMEMBER - CLASS B
ARANA LANDAETA, MARIELA CECILIAHEAD OF CLIENT EXPERIENCE4830220
ARNETT, GEORGE WASHINGTON IIIGENERAL COUNSEL AND DIRECTOR1057806
AVERETT, MICHAEL ROBERTCHIEF REVENUE OFFICER5311774
CANINO QUINONES, LIZMARIHEAD OF SALES SUPERVISION6007866
CAULFIELD, JUSTIN PAUL SRCHIEF COMPLIANCE OFFICER5699024
CEDENO, CLAUDIABSA | AML OFFICER5235772
CHUANG, ERIC CREGULATORY AFFAIRS OFFICER3215724
EFFIO, TAMARINDBUSINESS DEVELOPMENT OFFICER7255243
HENRIQUEZ, RAUL JRCHAIRMAN OF THE BOARD1647412
NUNEZ, FRANCISCODIRECTOR8017439
POLEMENI PEREZ, MONICAPRINCIPAL OPERATIONS OFFICER4130068
RIESGO, AHMEDCHIEF INVESTMENT OFFICER5020318
RIVERA CRUZ, MIGUEL ANGELCHIEF ACCOUNTING OFFICER / PRINCIPAL FINANCIAL OFFICER3255902
RIVERO, JAVIERPRESIDENT, CHIEF OPERATING OFFICER AND DIRECTOR4498023
WATSON, CHRISTIAN PIERCEHEAD OF TRADING4917370

Disclosures

Regulatory Event3

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

INSIGNEO SECURITIES, LLC

CRD#: 29249Miami, FL 33131

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