Alexander D. Wohl
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 Douglas Wohl was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1993. Alexander had worked at 9 firms and has passed the Series 63, Series 99TO, Series 3, Series 57TO, Series 55, Series 7, Series 4 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2021 - September 16, 2026
IMC EXECUTION SERVICES
May 27, 2020 - July 7, 2020
GATSBY SECURITIES
September 20, 2019 - June 25, 2020
VIEWTRADE SECURITIES, INC.
January 6, 2014 - July 16, 2015
ROBERT W. BAIRD & CO. INCORPORATED
May 13, 2009 - January 2, 2014
WOODLAWN ADVISORS LLC
May 5, 2006 - July 16, 2008
JEFFERIES LLC
May 27, 1999 - May 25, 2006
GOLDMAN SACHS & CO. LLC
August 2, 1995 - May 19, 1999
J.P. MORGAN SECURITIES LLC
April 28, 1993 - August 31, 1993
O'CONNOR & ASSOCIATES
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
What does exam status mean?
Series 99TO
Passed: 6/6/2025
Operations Professional ExaminationSeries 57TO
Passed: 7/28/2020
Securities Trader ExamCurrent Firm
IMC EXECUTION SERVICES
CRD#: 301273 / SEC#: , 8-70343
Contact information
FINRA licenses (2 States and Territories)
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.
