Alexander Rubano
Professional summary
Alexander Rubano III, who also goes by Alexander Rubano, Alex Rubano, is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in Chester, New Jersey.
Alexander is registered as a RR (Registered Representative) and started their career in finance in 1994. Alexander has worked at 5 firms and has passed the Series 63, Series 72, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alexander Rubano III's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 7, 2021 - Present
DAIWA CAPITAL MARKETS AMERICA INC.
Office #2: 101 South Wood Ave. 4th Floor, Iselin, NJ, 08830June 19, 2009 - December 21, 2020
SUSQUEHANNA FINANCIAL GROUP, LLLP
January 7, 2005 - June 2, 2009
FHN FINANCIAL SECURITIES CORP.
June 11, 1997 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
January 11, 1994 - May 29, 1997
TUCKER ANTHONY INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/8/2021)
(1/7/2021)
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
DAIWA CAPITAL MARKETS AMERICA INC.
CRD#: 1576 / SEC#: , 8-12242
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. | SHAREHOLDER | |
| GREFE, JOHN HERBERT III | EXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER | 3275699 |
| MACHIDA, KEIJI | PRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR) | 7273228 |
| PARRY, GEORGE L | CFO / TREASURER | 3221390 |
| SAMBONGI, TOHRU | MANAGING DIRECTOR / CO-HEAD OF FIXED INCOME | 7302894 |
| UEJIMA, EIJI | MANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION | 8039040 |
| YAMAUCHI, MASAHIRO | DEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS | 7920876 |
Disclosures
| Regulatory Event | 30 |
Red Flags
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