Alex J. Rohman
Professional summary
Alex John Rohman, who also goes by Alexander John Rohman, is a registered financial advisor currently at TIMECAPITAL INVESTOR ADVISORY SERVICES INC located in Port Jefferson Station, New York and TIMECAPITAL SECURITIES CORPORATION located in Port Jefferson Station, New York.
Alex is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Alex has worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, Series 72, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alex John Rohman's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 21, 2016 - Present
TIMECAPITAL INVESTOR ADVISORY SERVICES INC
Office #1: One Roosevelt Avenue, Port Jefferson Station, NY 11776-3336February 1, 2002 - Present
TIMECAPITAL SECURITIES CORPORATION
Office #1: One Roosevelt Avenue, Port Jefferson Station, NY 11776-3336March 5, 1994 - February 6, 2002
MORGAN STANLEY & CO. LLC
December 7, 1993 - March 17, 1994
THE WELLINGTON GROUP, INC.
December 1, 1992 - September 14, 1993
TIMECAPITAL SECURITIES CORPORATION
Primary Firm SEC Registration
TIMECAPITAL INVESTOR ADVISORY SERVICES INC
CRD#: 105672 / SEC#: 801-11732
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/17/2019)
(3/15/2005)
(1/2/2008)
(4/21/2016)
(4/22/2019)
(4/22/2019)
(4/15/2004)
(8/7/2025)
(4/17/2019)
(4/17/2019)
(4/22/2019)
(4/22/2019)
(4/17/2019)
(12/14/2017)
(10/12/2004)
(4/22/2019)
(4/22/2019)
(2/1/2002)
(11/6/2023)
(11/17/2010)
(4/22/2019)
(4/22/2019)
(3/15/2005)
(4/22/2019)
(4/22/2019)
(12/6/2018)
(4/17/2019)
(4/22/2019)
(3/15/2005)
(11/26/2008)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
Current Firm
TIMECAPITAL INVESTOR ADVISORY SERVICES INC
CRD#: 105672 / SEC#: 801-11732
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 496 |
| AUM (Assets Under Management) | $ 232,056,930 |
Red Flags
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Company Information
TIMECAPITAL INVESTOR ADVISORY SERVICES INC
CRD#: 105672Port Jefferson Station, NY 11776-3336TRUST BUT VERIFY
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