Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arden? Claim Your ProfileArden Alvin Baptiste is a financial advisor with over 28 years of experience in the industry. Baptiste is registered with LPL Financial LLC and holds Series 6, 7, 9, 10, 24, 63, and 65 licenses. Baptiste has previously worked with People's Securities, Inc., CCO Investment Services Corp., Capital One Investment Services LLC, HSBC Securities (USA) Inc., HSBC Brokerage (USA) Inc., Republic Financial Services Corporation, MetLife Securities Inc., Metropolitan Life Insurance Company, and C.J.M. Planning Corp. Baptiste provides financial planning, portfolio management, and consulting services to individuals, businesses, and charitable organizations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NY
05/01/2024 - Present
LPL Financial LLC (W. HAVERSTRAW NY)
NY
06/26/2012 - 08/17/2022
PEOPLE'S SECURITIES, INC. (W. HAVERSTRAW NY)
NY
08/17/2009 - 07/02/2012
CCO INVESTMENT SERVICES CORP. (SPRING VALLEY NY)
NJ
03/21/2007 - 05/22/2009
CAPITAL ONE INVESTMENT SERVICES LLC (RIDGEFIELD NJ)
NY
01/01/2005 - 03/23/2007
HSBC SECURITIES (USA) INC. (BARDONIA NY)
NY
06/19/2000 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NY
06/06/1998 - 06/19/2000
REPUBLIC FINANCIAL SERVICES CORPORATION (NEW YORK NY)
MA
10/29/1996 - 06/26/1998
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
10/29/1996 - 06/26/1998
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NJ
05/09/1994 - 10/15/1996
C. J. M. PLANNING CORP. (POMPTON LAKES NJ)
IA
Issued 07/17/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/03/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/13/2014
Series 24 - General Securities Principal Examination
BC
Issued 03/31/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/31/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/2004
Series 7 - General Securities Representative Examination
BC
Issued 05/06/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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