Alexander C. Gambrell
Professional summary
Alexander Carl Gambrell is a registered financial advisor currently at NICHOLAS HOFFMAN & COMPANY, LLC located in Atlanta, Georgia.
Alexander is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Alexander has worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 5, Series 7, Series 52, Series 24, Series 8 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alexander Carl Gambrell's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 12, 2010 - Present
NICHOLAS HOFFMAN & COMPANY, LLC
February 27, 2009 - July 13, 2009
BANC OF AMERICA SECURITIES LLC
July 26, 2004 - March 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 1998 - March 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 11, 1984 - March 5, 1998
CREDIT SUISSE SECURITIES (USA) LLC
Primary Firm SEC Registration
NICHOLAS HOFFMAN & COMPANY, LLC
CRD#: 144516 / SEC#: 801-68306
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/12/2010)
(2/21/2018)
Exams
Series 5
Date: 6/27/1984
Interest Rate Options ExaminationSeries 8
Date: 12/9/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NICHOLAS HOFFMAN & COMPANY, LLC
CRD#: 144516 / SEC#: 801-68306
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,215 |
| AUM (Assets Under Management) | $ 7,161,171,861 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2024 | ||
| 10/17/2023 | ||
| 12/08/2022 |
Red Flags
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