Michael J. Alexander
Professional summary
Michael Jay Alexander is a registered financial professional currently at BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC located in Newark, New Jersey.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 8 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 9, Series 10, Series 27, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Jay Alexander's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2013 - Present
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
Office #1: 2 Gateway Center 283-299 Market St., Newark, NJ 07102-5005Office #2: 300 Executive Drive Suite 1, Edgewood, NY 11717-8382April 4, 2006 - June 1, 2012
APEX CLEARING CORPORATION
August 31, 2000 - November 8, 2004
UBS CAPITAL MARKETS L.P.
June 19, 1996 - January 5, 2006
CHARLES SCHWAB & CO., INC.
May 23, 1994 - June 10, 1996
PERSHING LLC
April 22, 1992 - June 8, 1994
CITIGROUP GLOBAL MARKETS INC.
July 13, 1989 - March 18, 1992
LEHMAN BROTHERS INC.
January 21, 1986 - November 16, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/21/2013)
(2/8/2013)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 6/7/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 5/28/1986
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
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.
