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RM

Roberto J. Moyano Suarez

ALBERT SECURITIES
Santa Barbara, CA 93101
Some features on this profile are disabled
CRD#: 7518385
RM

Professional summary

Roberto Jaime Moyano Suarez is a registered financial professional currently at ALBERT SECURITIES, LLC located in Santa Barbara, California.

Roberto is registered as a RR (Registered Representative) and started their career in finance in 2022. Roberto has worked at 1 firm and has passed the Series 7TO, SIE 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) - BD

Click below to view Roberto Jaime Moyano Suarez's CRS (Customer Relationship Summary).
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

July 20, 2022 - Present

ALBERT SECURITIES, LLC

Office #1: 126 E Haley St, Suite A2, Santa Barbara, CA 93101
BD
CRD#: 305928
Santa Barbara, CA

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 7TO
Date: 7/1/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/24/2022
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/17/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ALBERT SECURITIES, LLC
ALBERT SECURITIES, LLC

CRD#: 305928 / SEC#: , 8-70459

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
126 E Haley St, Suite A2, Santa Barbara, CA 93101
Mailing Address
440 N Barranca Ave #3801, Covina, CA 91723
Phone number
(805) 465-2674
Established
Delaware since 10/04/2019
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#
ALBERT CORPORATIONOWNER
FRIEDMAN, MICHAEL JCEO & CCO6381659
WALD, COURTNEY LPFO/FINOP7331409

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

ALBERT SECURITIES, LLC

CRD#: 305928Santa Barbara, CA 93101

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