Alfred N. Schrott
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.
Alfred N Schrott, who also goes by Alfred Schrott, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1993. Alfred had worked at 1 firm and has passed the Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 1993 - October 11, 2004
INVESTEX SECURITIES GROUP, INC.
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
INVESTEX SECURITIES GROUP, INC.
CRD#: 30094 / SEC#: , 8-44705
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOMMA, FRANK JOHN | PRES, GENERAL PRINCIPAL | 1186283 |
| SCHROTT, JOCELYN MAE | SECRETARY, SHAREHOLDER | |
| SCHROTT, ALFRED N | FINOP | 2346374 |
| SCHROTT, ALFRED N | GENERAL PRINCIPAL | 2346374 |
| SIGNORILE, CHARLES GEORGE | GENERAL PRINCIPAL | |
| SIGNORILE, CHARLES GEORGE | ASS'T V.P.SENIOR REGISTERED OPTIONS PRINCIPAL | |
| SPICER, THOMAS | GENERAL PRINCIPAL | 2850935 |
| SPICER, THOMAS | V.P. COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 2850935 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 4 |
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.
