Alain L Aguiar
Professional Summary
Alain L Aguiar, who also goes by Alain Aguiar, is a registered financial advisor currently at TRADESTATION SECURITIES, INC. located in Plantation, Florida. Alain is registered as a RR (Registered Representative) and started their career in finance in 2018. Alain has worked at 2 firms and has passed the Series 63, Series 57TO, Series 3, SIE, Series 7, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alain Aguiar
Similar Advisors
DAYMARK WEALTH PARTNERS, LLC
OSAIC WEALTH, INC.
SUMMIT FINANCIAL, LLC
EQUITABLE ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
DAYMARK WEALTH PARTNERS, LLC
OSAIC WEALTH, INC.
SUMMIT FINANCIAL, LLC
EQUITABLE ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
DAYMARK WEALTH PARTNERS, LLC
OSAIC WEALTH, INC.
SUMMIT FINANCIAL, LLC
EQUITABLE ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
DAYMARK WEALTH PARTNERS, LLC
OSAIC WEALTH, INC.
SUMMIT FINANCIAL, LLC
EQUITABLE ADVISORS, LLC
Years of Experience
8 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
DAYMARK WEALTH PARTNERS, LLC
OSAIC WEALTH, INC.
SUMMIT FINANCIAL, LLC
EQUITABLE ADVISORS, LLC
Current Firm
ONLINE TRADING INC.COM | TRADESTATION SECURITIES, INC. | TRADESTATION SECURITIES | TRADESTATION | ONLINETRADNG.COM | ONLINETRADINGINC.COM CORP | ONLINETRADING.COM | ONLINETRADEINGINC.COM CORP. | ONLINE TRADING, INC.
Contact Information
Main Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324Mailing Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324Phone Number
(954) 652-7900Established
Florida since 09/07/1995Firm Type
CorporationFiscal Year End
MarchFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | — |
| BOLEK, JOHN MITCHELL | CHIEF OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | CHIEF OPERATING OFFICER & PRESIDENT | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 3096214 |
| VESPE, CHRISTOPHER JAMES | INTERIM CHIEF COMPLIANCE OFFICER | 5205586 |
Disclosures
Regulatory Event
29Arbitration
4Similar Advisors
DAYMARK WEALTH PARTNERS, LLC
OSAIC WEALTH, INC.
SUMMIT FINANCIAL, LLC
EQUITABLE ADVISORS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
DAYMARK WEALTH PARTNERS, LLC
OSAIC WEALTH, INC.
SUMMIT FINANCIAL, LLC
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(3/29/2022)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
(1/17/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
DAYMARK WEALTH PARTNERS, LLC
OSAIC WEALTH, INC.
SUMMIT FINANCIAL, LLC
EQUITABLE ADVISORS, LLC
CRS (Client Relationship Summary) - BD
Click below to view Alain L Aguiar's CRS (Customer Relationship Summary).
Similar Advisors
DAYMARK WEALTH PARTNERS, LLC
OSAIC WEALTH, INC.
SUMMIT FINANCIAL, LLC
EQUITABLE ADVISORS, LLC