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AU

Adrian A. Uberto

Some features on this profile are disabled
CRD#: 5918975
AU

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.

Adrian Alexander Uberto was a registered financial professional .

Adrian is a previously registered financial professional and started their career in finance in 2019. Adrian had worked at 1 firm and has passed the Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 21, 2019 - November 12, 2020

EC SECURITIES LLC

BD
CRD#: 287845
New York, 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

General Industry/Product Exam
RR
Series 79TO
Date: 6/28/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/5/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/4/2018
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/13/2018
General Securities Principal Examination

Current Firm

ES
EC SECURITIES LLC
ANGELLIST SECURITIES | VOYAGER GLOBAL ADVISORS LLC | LEVEL 9 TECHNOLOGY ADVISORS, LLC | EC SECURITIES, LLC | EC SECURITIES LLC

CRD#: 287845 / SEC#: , 8-69913

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

Main Address
40 Exchange Place Suite 402, New York, NY 10005
Mailing Address
40 Exchange Place Suite 402, New York, NY 10005
Phone number
(415) 209-5123
Established
California since 01/23/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# 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#
AL ADVISORS MANAGEMENT, INC.PARENT COMPANY
AVNET, MITCHELL STEVENCHIEF COMPLIANCE OFFICER2267190
MATISOFF, KIMBERLY DORMANCHIEF EXECUTIVE OFFICER5982741
SILVESTRO, MICHELE ANNPRINCIPAL FINANCIAL OFFICER/FINOP6960939

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

EC SECURITIES LLC

CRD#: 287845

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