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AK

Alvin G. Kucsera

NATWEST MARKETS SECURITIES
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 5743529
AK

Professional summary

Alvin G Kucsera, who also goes by Alvin George Kucsera Jr., Alvin G Kucsera, is a registered financial professional currently at NATWEST MARKETS SECURITIES INC. located in Stamford, Connecticut.

Alvin is registered as a RR (Registered Representative) and started their career in finance in 2010. Alvin has worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alvin George Kucsera Jr. | Alvin G Kucsera

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 Alvin G Kucsera'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

October 13, 2025 - Present

NATWEST MARKETS SECURITIES INC.

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

January 12, 2017 - July 27, 2021

SAFRA SECURITIES LLC

BD
CRD#: 47873
NEW YORK, NY
Past

March 22, 2010 - December 2, 2016

PUMA CAPITAL, LLC

BD
CRD#: 146744
RYE, NY

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
Series 63
Date: 4/17/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 10/21/2025
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 7/9/2010
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/19/2010
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.

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Company Information

NATWEST MARKETS SECURITIES INC.

CRD#: 11707Stamford, CT 06901

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