Manuel H. Ayala
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.
Manuel Heberto Ayala, who also goes by Ayala, was a registered financial professional .
Manuel is a previously registered financial professional and started their career in finance in 1981. Manuel had worked at 8 firms and has passed the Series 63, Series 55 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
December 13, 2007 - April 29, 2010
MULTITRADE SECURITIES LLC
February 16, 2006 - July 27, 2012
GAR WOOD SECURITIES, LLC
June 8, 2005 - November 30, 2005
INSIGHT SECURITIES, INC.
September 24, 2002 - September 10, 2004
KNIGHT EXECUTION PARTNERS LLC
July 23, 1997 - November 20, 2000
MESIROW FINANCIAL, INC.
January 2, 1997 - July 15, 1997
ABN AMRO INCORPORATED
April 19, 1991 - January 2, 1997
THE CHICAGO CORPORATION
August 17, 1981 - November 26, 1990
SECURITIES SETTLEMENT CORPORATION
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
Series 55
Date: 11/19/2007
Limited Representative-Equity Trader ExamCurrent Firm
MULTITRADE SECURITIES LLC
CRD#: 47485 / SEC#: , 8-51825
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CMA, INC | INSTITUTIONAL OWNER | |
| LIGHTHOUSE FINANCIAL GROUP, LLC | INSTITUTIONAL OWNER | 103734 |
| MORFIT, MICHAEL CLARENCE OLIVER MR | PRESIDENT, SENIOR MANAGING DIRECTOR, CHIEF OPERATING OFFICER, MANAGING MEMBER, AND CCO | 1614404 |
| PRIVATE ASSET INVESTORS | OWNER | |
| HOWIE, STEVEN GIRARD | MUNICIPAL SECURITIES PRINCIPAL, TRADER | 1250905 |
| KRILL, RICHARD EDWARD | CFO, FINANCE AND OPERATIONS PRINCIPAL | 3190120 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
