AK
Alice Klosova
BARCLAYS CAPITAL
New York, NY 10019
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CRD#: 2574067
AK
Professional summary
Alice Klosova, who also goes by Aleatsae Klosova, Alice Klosova, Alice Scibuola, Aleatsae Sterbova, is a registered financial professional currently at BARCLAYS CAPITAL INC. located in New York, New York.
Alice is registered as a RR (Registered Representative) and started their career in finance in 1995. Alice has worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 16, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Aleatsae Klosova | Alice Klosova | Alice Scibuola | Aleatsae Sterbova
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Alice Klosova's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 1, 2010 - Present
BARCLAYS CAPITAL INC.
Office #1: 745 7th Avenue, New York, NY 10019BD
CRD#: 19714
New York, NY
Past
February 29, 2008 - January 23, 2009
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
SAN FRANCISCO, CA
Past
February 6, 2004 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
SAN FRANCISCO, CA
Past
October 1, 2002 - February 6, 2004
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
September 2, 1998 - August 27, 2002
ROBERTSON STEPHENS, INC.
BD
CRD#: 41271
SAN FRANCISCO, CA
Past
April 23, 1998 - July 8, 1998
MAM SECURITIES, LLC
BD
CRD#: 41140
SAN FRANCISCO, CA
Past
January 3, 1995 - April 30, 1998
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/10/2010)
RR
New York(2/1/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
BC
BARCLAYS CAPITAL INC.
BARCLAYS | WEALTH AND INVESTMENT MANAGEMENT, AMERICAS | WEALTH AND INVESTMENT MANAGEMENT A DIVISION OF BARCLAYS | FUNDS AND ADVISORY-AMERICAS | BZW SECURITIES INC. | BCFS - AMERICAS | BARCLAYS WEALTH AND INVESTMENT MANAGEMENT, AMERICAS | BARCLAYS WEALTH AMERICAS | BARCLAYS WEALTH | BARCLAYS SECURITIES INC. | BARCLAYS SECURITIES INC | BARCLAYS DE ZOETE WEDD SECURITIES INC. | BARCLAYS DE ZOETE WEDD GOVERNMENT SECURITIES, INC. | BARCLAYS CAPITAL INC. | BARCLAYS CAPITAL FUND SOLUTIONS - AMERICAS | BARCLAYS CAPITAL
CRD#: 19714 / SEC#: 801-69700, 8-41342
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
745 7th Avenue, New York, NY 10019-6801
Mailing Address
745 7th Avenue, New York, NY 10019
Phone number
(212) 526-7000
Established
Connecticut since 03/30/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 142 |
| Civil Event | 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.
