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Michael Joseph Albino

CRD# 864412·Registered 1979 - 2026
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Joseph Albino, who also goes by Michael J Albino, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1979 - 2026. Michael had worked at 14 firms and has passed the Series 63, SIE, Series 5, Series 15, Series 3, Series 7, Series 14, Series 8, Series 24 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael J Albino

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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.

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Years of Experience

47 years in the financial services industry

Current & Past Employments

AVANT-GARDE TRADING SECURITIES·CRD# 292119
BD
Chicago, IL
September 25, 2018 - June 30, 2026
E*TRADE FUTURES LLC·CRD# 145562
BD
Chicago, IL
July 8, 2008 - January 30, 2015
HARRISDIRECT LLC·CRD# 42159
BD
Jersey City, NJ
August 31, 2006 - October 13, 2006
E*TRADE SECURITIES LLC·CRD# 29106
BD
Jersey City, NJ
September 20, 2001 - June 11, 2008
LOCUST STREET SECURITIES, INC.·CRD# 1703
BD
Des Moines, IA
November 22, 2000 - September 14, 2001
PRIME CAPITAL SERVICES, INC.·CRD# 18334
BD
Poughkeepsie, NY
March 12, 1999 - June 2, 1999
PACIFIC CORTEZ SECURITIES INCORPORATED·CRD# 24341
BD
San Diego, CA
June 12, 1997 - August 21, 1997
INSTITUTIONAL EQUITY CORPORATION·CRD# 19628
BD
Dallas, TX
March 27, 1997 - May 28, 1997
MATRIX SECURITIES CORPORATION·CRD# 30991
BD
Garden City, NY
January 24, 1997 - March 20, 1997
STRATTON OAKMONT INC.·CRD# 18692
BD
Lake Success, NY
October 30, 1995 - December 20, 1996
BILTMORE SECURITIES, INC.·CRD# 25023
BD
Ft. Lauderdale, FL
June 27, 1995 - September 28, 1995
STRATTON OAKMONT INC.·CRD# 18692
BD
Lake Success, NY
December 6, 1993 - June 28, 1995
MAIDSTONE FINANCIAL, INC.·CRD# 31804
BD
New York, NY
October 14, 1993 - November 22, 1993
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
November 13, 1989 - August 25, 1993
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
April 2, 1979 - November 25, 1989

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Current Firm

AT
AVANT-GARDE TRADING SECURITIES

AVANT-GARDE TRADING SECURITIES | PROSPERUM SECURITIES LLC DBA AVANT-GARDE TRADING SECURITIES | PROSPERUM FINTECH HOLDINGS, LLC

CRD#: 292119 / SEC#: 8-70068
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Contact Information

Main Address

30 S. Wacker Dr Suite 2840, Chicago, IL 60606

Mailing Address

30 S. Wacker Dr Suite 2840, Chicago, IL 60606

Phone Number

(312) 858-5748

Established

Illinois since 11/23/2016

Firm Type

Limited Liability Company

Fiscal Year End

June

Firm Size

Small

FINRA licenses (50 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PROSPERUM FINANCIAL HOLDINGS, LLCOWNER—
ARORA, VRINDAFINOP7784034
DURAN, GABRIEL ALANCHIEF COMPLIANCE OFFICER2564534
GOMPERT, DAVID JOHNCEO1824567

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1992About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 5 — Interest Rate Options Examination

Passed Oct 1985

Series 15 — Foreign Currency Options Examination

Passed Oct 1985

Series 3 — National Commodity Futures Examination

Passed Oct 1982About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Mar 1979About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Dec 1985

Series 24 — General Securities Principal Examination

Passed Jan 1982About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Mar 1981About the Series 4 exam

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CRS (Client Relationship Summary)

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

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