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Aldo Ceaser Busot

Description

Aldo Busot a financial professional at Morgan Stanley Smith Barney LLC, a broker-dealer with over 24,100 registered representatives nationwide. Aldo has held an industry securities registration for 36 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Aldo Ceaser Busot has not answered any questions on Financial Q&A.

Top Guides

Aldo Ceaser Busot has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Other Investment Advisors
State or Municipal Government Entities
Other Pooled Investment Vehicles
Charitable Organizations
Corporations or Other Businesses
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Morgan Stanley Smith Barney 3 years, 11 months Jun 2009 - Present
Citi Group Global Markets Inc. (7059) 4 years, 3 months Feb 2009 - Present
UBS Financial Services Inc. 29 years, 2 months Dec 1979 - Feb 2009
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/07/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute
As of Date
11/07/2011
11/07/2011
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 05/06/2003
General Securities Sales Supervisor Examination (Options Module & GeneralModule) Series 8 03/15/1988
Uniform Securities Agent State Law Examination Series 63 10/23/1985
Interest Rate Options Examination Series 5 02/17/1983
National Commodity Futures Examination Series 3 10/26/1982
AMEX Put and Call Exam PC 06/13/1977
General Securities Representative Examination Series 7 08/16/1975

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions
  • Other: SEE SCHEDULE D MISCELLANEOUS