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AK

Alex P. Karos

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CRD#: 1828037
AK

Professional summary

Alex Peter Karos was barred by the FINRA 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 1988. Prior to being barred, Alex had worked at 6 firms, which includes FIS BROKERAGE & SECURITIES SERVICES LLC, RUMSON CAPITAL LLC, PIPER SANDLER & CO., MJK CLEARING INC., HAYNE MILLER FINANCIAL INC., M. H. NOVICK & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 3, 2003 - August 26, 2004

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

February 15, 2002 - March 3, 2003

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY
Past

September 3, 1998 - December 19, 2000

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

July 25, 1995 - August 7, 1998

MJK CLEARING, INC.

BD
CRD#: 8678
MINNEAPOLIS, MN
Past

May 2, 1990 - November 8, 1994

HAYNE, MILLER FINANCIAL, INC.

BD
CRD#: 13849
MINNEAPOLIS, MN
Past

July 19, 1988 - May 14, 1990

M. H. NOVICK & CO., INC.

BD
CRD#: 6293

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/19/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1988
General Securities Representative Examination

Current Firm

FB
FIS BROKERAGE & SECURITIES SERVICES LLC
ANDOVER CAPITAL PARTNERS LLC | SUNGARD BROKERAGE & SECURITIES SERVICES, LLC | SUNGARD BROKERAGE & SECURITIES SERVICES LLC | PRESCIENT SECURITIES, LLC | FIS BROKERAGE & SECURITIES SERVICES LLC | ASSENT LLC

CRD#: 104162 / SEC#: , 8-52614

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
270 Remington Blvd. Suite A, Bolingbrook, IL 60440
Mailing Address
270 Remington Blvd. Suite A, Bolingbrook, IL 60440
Phone number
(630) 482-7300
Established
Delaware since 02/11/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FIS CAPITAL MARKETS US LLCSOLE MEMBER
DAMIS, JENEL CARIMACHIEF COMPLIANCE OFFICER3261583
HECKER, STEVEN MICHAELFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER3088510
PETERS, DAVID TODDBOARD MEMBER, ASSISTANT SECRETARY7798286
VOGEL, MICHAEL FRANCISCHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY2814935

Disclosures

Regulatory Event23

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.

Company Information

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

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