Alexander J. Mainero
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.
Alexander Julius Mainero, who also goes by Alex Mainero, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2001. Alexander had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2020 - July 29, 2022
ROBERTS & RYAN, INC.
August 20, 2014 - December 11, 2019
CIBC WORLD MARKETS CORP.
May 26, 2010 - April 10, 2014
BBVA SECURITIES INC.
October 17, 2006 - May 14, 2010
ITAU BBA USA SECURITIES, INC.
October 17, 2003 - October 2, 2006
CITIGROUP GLOBAL MARKETS INC.
January 3, 2003 - October 16, 2003
OPPENHEIMER & CO. INC.
December 10, 2001 - January 3, 2003
CIBC WORLD MARKETS CORP.
June 15, 2001 - August 29, 2001
BLUESTONE CAPITAL CORP.
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
ROBERTS & RYAN, INC.
CRD#: 19456 / SEC#: 801-113965, 8-37469
Contact information
FINRA licenses (32 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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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