Alex Socolof

STRATEGIC WEALTH MANAGEMENT LLC

BRIARCLIFF MANOR, NY 10510

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CRD#: 1017723

Professional summary

Alex Socolof, who also goes by Alexander Socolof, is a registered financial advisor currently at STRATEGIC WEALTH MANAGEMENT LLC located in Briarcliff Manor, New York.

Alex is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Alex has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alexander Socolof

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.

ALEX SOCOLOF IS THE 49% owner of Rifency. It's a research and development company focusing on emission reduction technology. At present, we have no sales or revenue to date. THE AMOUNT OF TIME SPENT ON THIS PRODUCT IS CURRENTLY LESS THAN 5% OF WORK HOURS, BUT THE POTENTIAL FOR ACTIVITY IN THE FUTURE IS POSSIBLE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Socolof's 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

April 16, 2021 - Present

STRATEGIC WEALTH MANAGEMENT LLC

Office #1: 555 Pleasantville Rd S109, Briarcliff Manor, NY 10510

RIA

CRD#: 140745

BRIARCLIFF MANOR, NY

Past

June 5, 2012 - June 29, 2017

STRATEGIC WEALTH MANAGEMENT LLC

RIA

CRD#: 140745

BRIARCLIFF MANOR, NY

Past

February 1, 2010 - December 31, 2010

KOVACK SECURITIES INC.

CRD#: 44848

BRIARCLIFF MANOR, NY

Past

June 30, 2006 - December 31, 2009

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BRIARCLIFF MANOR, NY

Past

April 6, 2001 - July 24, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW YORK, NY

Past

April 6, 1992 - April 12, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 29, 1990 - April 22, 1992

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 22, 1983 - February 22, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(4/16/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/20/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/21/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

Current Firm

STRATEGIC WEALTH MANAGEMENT LLC

CRD#: 140745 / SEC#: 801-66859

RIA

Registered Investment Advisory firm - (6/29/2017 Terminated)

New York

Registered Investment Advisory firm - (6/29/2017 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

555 Pleasantville Rd S109, Briarcliff Manor, NY 10510

Mailing Address

Phone number

(646) 220-3327

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	26
AUM (Assets Under Management)	$ 13,900,000

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.

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Alex Socolof

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Socolof's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATEGIC WEALTH MANAGEMENT LLC

STRATEGIC WEALTH MANAGEMENT LLC

KOVACK SECURITIES INC.

NEWBRIDGE SECURITIES CORPORATION

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/20/2012

Series 63

Date: 9/21/1983

Series 7

Date: 3/19/1983

Current Firm

STRATEGIC WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STRATEGIC WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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