Alexander G. Tollen
Professional summary
Alexander Gustave Tollen, CPWA®, who also goes by Alex Tollen, is a registered financial advisor currently at MCGOWAN GROUP ASSET MANAGEMENT, INC. located in Dallas, Texas.
Alexander is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Alexander has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alexander Gustave Tollen's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2013-11-07
Expire date: 2023-09-30
Experience
October 25, 2011 - Present
MCGOWAN GROUP ASSET MANAGEMENT, INC.
Office #1: 200 Crescent Court Suite 1450, Dallas, TX 75201October 12, 2011 - December 31, 2014
SPIRE SECURITIES, LLC
August 11, 2010 - October 13, 2011
1ST GLOBAL CAPITAL CORP.
April 15, 2009 - August 3, 2010
EDI INVESTMENT ADVISOR CORPORATION
April 6, 2004 - July 26, 2010
EDI FINANCIAL, INC.
February 15, 2002 - April 2, 2004
PFS INVESTMENTS INC.
July 22, 1999 - July 13, 2001
FIRST LONDON SECURITIES CORPORATION
July 10, 1998 - June 1, 1999
CAPIS
August 23, 1995 - July 2, 1998
FIRST SOUTHWEST COMPANY, LLC
Primary Firm SEC Registration
MCGOWAN GROUP ASSET MANAGEMENT, INC.
CRD#: 154127 / SEC#: 801-71582
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/25/2011)
Exams
Series 55
Date: 8/11/1998
Limited Representative-Equity Trader ExamSeries 8
Date: 11/17/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MCGOWAN GROUP ASSET MANAGEMENT, INC.
CRD#: 154127 / SEC#: 801-71582
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,050 |
| AUM (Assets Under Management) | $ 996,742,756 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
MCGOWAN GROUP ASSET MANAGEMENT, INC.
CRD#: 154127Dallas, TX 75201TRUST BUT VERIFY
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