Juan C. Aleman
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.
Juan Carlos Aleman was a registered financial professional .
Juan is a previously registered financial professional and started their career in finance in 2006. Juan had worked at 5 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
February 3, 2020 - June 10, 2021
UCAP AMERICAS
January 31, 2020 - June 10, 2021
UCAP AMERICAS
March 12, 2012 - January 2, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 9, 2012 - January 2, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 2007 - March 21, 2012
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - March 21, 2012
CITIGROUP GLOBAL MARKETS INC.
May 19, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
Primary Firm SEC Registration
UCAP AMERICAS
CRD#: 170846 / SEC#: 801-79625
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
UCAP AMERICAS
CRD#: 170846 / SEC#: 801-79625
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 178 |
| AUM (Assets Under Management) | $ 165,941,851 |
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.
