Alexander Balc
Professional Summary
Alexander Balc, who also goes by Alexander Balc III, Alexander Balc, is a registered financial advisor currently at BREAN CAPITAL, LLC located in Oakbrook Terrace, Illinois. Alexander is registered as a RR (Registered Representative) and started their career in finance in 1991. Alexander has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alexander Balc Iii, Alexander Balc
Similar Advisors
WILLIAM BLAIR
VERTEX PARTNERS
RISE INVESTMENT MANAGEMENT, LLC
THE DALA GROUP, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
WILLIAM BLAIR
VERTEX PARTNERS
RISE INVESTMENT MANAGEMENT, LLC
THE DALA GROUP, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
WILLIAM BLAIR
VERTEX PARTNERS
RISE INVESTMENT MANAGEMENT, LLC
THE DALA GROUP, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
WILLIAM BLAIR
VERTEX PARTNERS
RISE INVESTMENT MANAGEMENT, LLC
THE DALA GROUP, LLC
Years of Experience
32 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
WILLIAM BLAIR
VERTEX PARTNERS
RISE INVESTMENT MANAGEMENT, LLC
THE DALA GROUP, LLC
Current Firm
BREAN CAPITAL, LLC | NATIONAL LIQUIDATORS, INC | CARRET SECURITIES, LLC | CARRET SECURITIES, INC. | BREAN MURRAY, CARRET & CO., LLC.
Contact Information
Main Address
505 Fifth Avenue 5th Floor, New York, NY 10017Mailing Address
505 Fifth Avenue 5th Floor, New York, NY 10017Phone Number
(212) 702-6500Established
Delaware since 02/03/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | — |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | — |
| ALLURED LLC | HOLDING COMPANY | — |
| LIZINATOR LLC | HOLDING COMPANY | — |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | — |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
Regulatory Event
12Similar Advisors
WILLIAM BLAIR
VERTEX PARTNERS
RISE INVESTMENT MANAGEMENT, LLC
THE DALA GROUP, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
WILLIAM BLAIR
VERTEX PARTNERS
RISE INVESTMENT MANAGEMENT, LLC
THE DALA GROUP, LLC
State Registrations and Notice Filings
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
(5/8/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
Similar Advisors
WILLIAM BLAIR
VERTEX PARTNERS
RISE INVESTMENT MANAGEMENT, LLC
THE DALA GROUP, LLC
CRS (Client Relationship Summary) - BD
Click below to view Alexander Balc's CRS (Customer Relationship Summary).
Similar Advisors
WILLIAM BLAIR
VERTEX PARTNERS
RISE INVESTMENT MANAGEMENT, LLC
THE DALA GROUP, LLC