Alexander P. Middleton
Professional summary
Being a previously registered professional could mean that this person 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.
Alexander Pierre Middleton, who also goes by Alex P Middleton, Alex Pierre Middleton, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1984. Alexander had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 1996 - February 12, 1997
CHATFIELD DEAN & CO., INC.
September 25, 1995 - February 23, 1996
H.J. MEYERS & CO., INC.
November 12, 1992 - September 8, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 1984 - November 16, 1992
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CHATFIELD DEAN & CO., INC.
CRD#: 14714 / SEC#: , 8-31004
Contact information
Documents
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.
