Alex M. Reznik
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.
Alex Michael Reznik, who also goes by Al Reznik, Alex Reznik, was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 1987. Alex had worked at 16 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 1997 - July 9, 1997
JOSEPH CHARLES & ASSOC., INC.
February 24, 1997 - May 5, 1997
MERIT CAPITAL ASSOCIATES, INC.
December 17, 1996 - March 13, 1997
THE HAMILTON-SHEA GROUP, INC.
November 14, 1996 - December 19, 1996
CONTINENTAL BROKER-DEALER CORP.
September 3, 1996 - October 1, 1996
HFC CAPITAL CORP.
April 24, 1996 - August 23, 1996
BILTMORE SECURITIES, INC.
April 13, 1995 - April 25, 1996
STATE CAPITAL MARKETS CORPORATION
January 19, 1995 - April 18, 1995
BROOKLYN CAPITAL & SECURITIES TRADING, INC.
July 13, 1994 - December 15, 1994
GRUNTAL & CO., L.L.C.
August 10, 1993 - July 8, 1994
BILTMORE SECURITIES, INC.
January 1, 1993 - August 17, 1993
ADVEST, INC.
April 26, 1991 - December 17, 1992
GRUNTAL & CO., L.L.C.
October 8, 1990 - May 3, 1991
COMMONWEALTH ASSOCIATES
May 25, 1990 - October 30, 1990
JOSEPHTHAL & CO., INC.
November 15, 1989 - December 31, 1989
FIRST MONTAUK SECURITIES CORP.
September 14, 1989 - October 7, 1989
SOUTH RICHMOND SECURITIES, INC.
June 29, 1989 - September 9, 1989
MORGAN STANLEY DW INC.
March 8, 1988 - November 26, 1988
LEHMAN BROTHERS INC.
November 9, 1987 - March 11, 1988
SOUTH RICHMOND SECURITIES, INC.
August 24, 1987 - December 7, 1987
LEHMAN BROTHERS 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
Current Firm
JOSEPH CHARLES & ASSOC., INC.
CRD#: 3949 / SEC#: , 8-12410
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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.
