Alex D. Vitale
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 David Vitale, who also goes by Alessandro VItale, was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 1991. Alex had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, 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
January 8, 2013 - January 3, 2022
HOULIHAN LOKEY ADVISORS, LLC
January 9, 1998 - October 29, 2012
DEUTSCHE BANK SECURITIES INC.
November 28, 1995 - December 1, 1997
VITALE BORGHESI & CO. INC.
January 13, 1995 - February 27, 1995
UBS FINANCIAL SERVICES INC.
December 19, 1991 - January 18, 1995
KIDDER, PEABODY & CO. INCORPORATED
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
HOULIHAN LOKEY ADVISORS, LLC
CRD#: 127835 / SEC#: , 8-66065
Contact information
Documents
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.
