Alexander D. Andron
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 Dimitri Andron, who also goes by Alex Andron, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1994. Alexander had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2011 - July 30, 2014
LEGACY ADVISORS, LLC
February 23, 2011 - July 28, 2014
M HOLDINGS SECURITIES, INC.
January 17, 2007 - March 9, 2011
OMNIVEST GROUP LLC
September 13, 2005 - March 5, 2009
CBF ADVISORS, LLC
September 13, 2005 - March 5, 2009
MANAGED ACCOUNT SERVICES, LLC
May 20, 2004 - April 7, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 1995 - April 7, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 26, 1994 - February 24, 1994
WALFORD & COMPANY, INC.
Primary Firm SEC Registration
LEGACY ADVISORS, LLC
CRD#: 139830 / SEC#: 801-66582
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
LEGACY ADVISORS, LLC
CRD#: 139830 / SEC#: 801-66582
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,257 |
| AUM (Assets Under Management) | $ 4,182,473,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/12/2025 | ||
| 09/19/2024 | ||
| 09/18/2024 | ||
| 03/27/2024 | ||
| 01/19/2023 |
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.
