Alexander G. Fishbein
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 G Fishbein, who also goes by Alex Fishbein, Alexander Gregory Fishbein, 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 63, SIE, Series 7TO 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
August 30, 2019 - October 29, 2024
TD SECURITIES (USA) LLC
August 9, 2007 - November 7, 2011
CITIGROUP GLOBAL MARKETS INC.
March 4, 2005 - March 20, 2007
MORGAN STANLEY MARKET PRODUCTS INC.
March 10, 2003 - March 20, 2007
MORGAN STANLEY & CO. LLC
December 1, 2000 - March 14, 2003
UBS SECURITIES LLC
January 28, 1995 - December 1, 2000
UBS FINANCIAL SERVICES INC.
June 23, 1994 - January 28, 1995
KIDDER, PEABODY & CO. 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
Exams
Series 7TO
Date: 8/21/2019
General Securities Representative ExaminationCurrent Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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