James A. Alexander
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.
James Albert Alexander, who also goes by James A Alexander, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2015 - October 11, 2021
DEDORA CAPITAL, INC.
November 7, 2008 - June 30, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 7, 2008 - June 30, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 26, 2006 - November 11, 2008
EDWARD JONES
December 22, 1995 - November 11, 2008
EDWARD JONES
Primary Firm SEC Registration
DEDORA CAPITAL, INC.
CRD#: 177523 / SEC#: 801-96227
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
DEDORA CAPITAL, INC.
CRD#: 177523 / SEC#: 801-96227
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,291 |
| AUM (Assets Under Management) | $ 487,051,982 |
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.
