Alex C. Ceron
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 C Ceron, who also goes by Alex Cuauhtemoc Ceron, Alex Ceron, was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 1992. Alex had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2022 - May 8, 2025
CHARLES SCHWAB & CO., INC.
January 31, 2022 - May 8, 2025
CHARLES SCHWAB & CO., INC.
July 9, 2015 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 19, 2015 - October 14, 2022
TD AMERITRADE, INC.
June 18, 2015 - July 29, 2024
TD AMERITRADE, INC.
February 13, 2014 - June 3, 2015
CETERA INVESTMENT ADVISERS LLC
September 18, 2013 - January 29, 2014
CETERA INVESTMENT SERVICES LLC
September 6, 2013 - June 3, 2015
CETERA INVESTMENT SERVICES LLC
June 11, 2012 - September 4, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 5, 2012 - September 4, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 16, 2007 - April 30, 2012
CHARLES SCHWAB & CO., INC.
July 13, 2007 - April 30, 2012
CHARLES SCHWAB & CO., INC.
July 24, 2003 - June 28, 2007
WELLS FARGO CLEARING SERVICES, LLC
July 23, 2003 - June 28, 2007
WELLS FARGO CLEARING SERVICES, LLC
December 6, 1994 - September 11, 2003
STRATEGIC ADVISERS LLC
September 9, 1993 - July 28, 2003
FIDELITY BROKERAGE SERVICES LLC
June 16, 1992 - July 21, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 6, 1992 - May 20, 1992
CHELSEA STREET SECURITIES, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
