Alexander C. Prentice
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 Charles Prentice, who also goes by Alex Prentice, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1985. Alexander had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2012 - November 2, 2018
LWI FINANCIAL INC.
December 5, 2006 - November 2, 2018
LORING WARD SECURITIES INC.
August 5, 1985 - February 25, 2002
CHARLES SCHWAB & CO., INC.
April 24, 1985 - July 10, 1985
FIRST JERSEY SECURITIES, INC.
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
Series 8
Date: 7/10/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LWI FINANCIAL INC.
CRD#: 111861 / SEC#: 801-55934
Contact information
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.
