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AL

Alexander C. Laing

PROFOR ADVISORS
Rye Brook, NY 10573
Some features on this profile are disabled
CRD#: 2059461
AL

Professional summary

Alexander Cawthra Laing, who also goes by Alec C Laing, Alexander C Laing, Andrew Laing, is a registered financial professional currently at PROFOR ADVISORS located in Rye Brook, New York.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 1991. Alexander has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alec C Laing | Alexander C Laing | Andrew Laing

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) - BD

Click below to view Alexander Cawthra Laing's CRS (Customer Relationship Summary).

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

Current

June 15, 2015 - Present

PROFOR ADVISORS

Office #1: 800 Westchester Ave Suite 641n, Rye Brook, NY 10573
BD
CRD#: 136084
Rye Brook, NY
Past

February 7, 2012 - December 21, 2012

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC

BD
CRD#: 135131
NEW YORK, NY
Past

August 19, 2010 - July 19, 2011

APB FINANCIAL GROUP, LLC

BD
CRD#: 38235
NEW YORK, NY
Past

June 20, 2006 - August 15, 2007

BOOMERANG CAPITAL LLC

BD
CRD#: 120313
ROWAYTON, CT
Past

December 13, 2004 - July 11, 2005

RMG PARTNERS

BD
CRD#: 113257
RENO, NV
Past

February 16, 2004 - January 11, 2005

APB FINANCIAL GROUP, LLC

BD
CRD#: 38235
NEW YORK, NY
Past

January 28, 2002 - February 26, 2002

SGI, LLC

BD
CRD#: 32922
NEW YORK, NY
Past

November 15, 1999 - November 30, 2000

TRADE.COM ONLINE SECURITIES, INC.

BD
CRD#: 36189
NEW YORK, NY
Past

February 3, 1999 - July 2, 1999

TRADE.COM ONLINE SECURITIES, INC.

BD
CRD#: 36189
NEW YORK, NY
Past

September 24, 1997 - January 30, 1998

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, NY
Past

February 16, 1996 - August 1, 1997

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

April 19, 1991 - February 1, 1996

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(6/15/2015)
RR
New York
(6/18/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/15/1996
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PROFOR ADVISORS
AURELIUS SECURITIES, LLC | PROFOR SECURITIES, LLC | PROFOR ADVISORS

CRD#: 136084 / SEC#: , 8-66974

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

Main Address
800 Westchester Ave Suite 641n, Rye Brook, NY 10573
Mailing Address
800 Westchester Ave Suite 641n, Rye Brook, NY 10573
Phone number
(646) 202-2969
Established
New York since 06/03/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
OMEARA, PATRICK JAMES JRMANAGING DIRECTOR, DESIGNATED PRINCIPAL, CHIEF COMPLIANCE OFFICER1544243
MAHALA, THOMAS GERARDREGISTERED PRINCIPAL1600103
OMEARA, PATRICK JAMES JRAML COMPLIANCE PRINCIPAL1544243
POLLOCK, MARTIN JAYFINOP1067521

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

PROFOR ADVISORS

CRD#: 136084Rye Brook, NY 10573

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