Alex D. Shindman
Professional summary
Alex David Shindman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alex is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Alex had worked at 12 firms, which includes NTB FINANCIAL CORPORATION, GAINEY FINANCIAL SERVICES INC., M. RIMSON & CO. INC., JOSEPHTHAL & CO. INC., LCP CAPITAL CORP., ROBERT TODD FINANCIAL CORP., COMMONWEALTH ASSOCIATES, SOUTH RICHMOND SECURITIES INC., MORGAN STANLEY DW INC., J.P. MORGAN SECURITIES LLC, LEHMAN BROTHERS INC., THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 1994 - July 7, 1994
NTB FINANCIAL CORPORATION
April 28, 1994 - June 15, 1994
GAINEY FINANCIAL SERVICES, INC.
June 25, 1993 - January 19, 1996
M. RIMSON & CO., INC.
January 29, 1993 - May 6, 1993
JOSEPHTHAL & CO., INC.
January 13, 1992 - May 11, 1992
LCP CAPITAL CORP.
July 16, 1991 - January 1, 1992
ROBERT TODD FINANCIAL CORP.
May 29, 1991 - August 6, 1991
COMMONWEALTH ASSOCIATES
August 30, 1989 - October 7, 1989
SOUTH RICHMOND SECURITIES, INC.
August 22, 1989 - September 1, 1989
MORGAN STANLEY DW INC.
November 16, 1988 - June 1, 1989
J.P. MORGAN SECURITIES LLC
May 9, 1988 - November 2, 1988
LEHMAN BROTHERS INC.
August 18, 1987 - November 20, 1987
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NTB FINANCIAL CORPORATION
CRD#: 7425 / SEC#: 801-65853, 8-21884
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 250,252,265 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
Red Flags
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