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Alejandro J. Vicens

CG COMPASS (USA) LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 2683751
AV

Professional summary

Alejandro Jose Vicens, who also goes by Alejandro VIcens, Alex Vicens, is a registered financial professional currently at CG COMPASS (USA) LLC located in Miami, Florida and MARIVA CAPITAL MARKETS, LLC located in Miami, Florida.

Alejandro is registered as a RR (Registered Representative) and started their career in finance in 1995. Alejandro has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alejandro Vicens | Alex Vicens

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alejandro Jose Vicens's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 18, 2022 - Present

CG COMPASS (USA) LLC

Office #1: 1441 Brickell Avenue Suite 1430, Miami, FL 33131
BD
CRD#: 129837
Miami, FL
Current

March 4, 2024 - Present

MARIVA CAPITAL MARKETS, LLC

Office #1: 150 Se 2nd Avenue Suite Ph 4, Miami, FL 33131
BD
CRD#: 156171
Miami, FL
Past

April 22, 2024 - April 25, 2024

DOMINARI SECURITIES LLC

RIA
CRD#: 18975
San Juan, PR
Past

April 22, 2024 - April 25, 2024

DOMINARI SECURITIES LLC

BD
CRD#: 18975
San Juan, PR
Past

January 16, 2001 - August 19, 2022

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 17053
SAN JUAN, PR
Past

February 11, 2000 - January 17, 2001

OFS SECURITIES, INC.

BD
CRD#: 39615
HATO REY, PR
Past

December 7, 1995 - February 3, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
Florida
(11/18/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/29/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/2/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/10/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/18/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/26/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MARIVA CAPITAL MARKETS, LLC
MARIVA CAPITAL MARKETS, LLC

CRD#: 156171 / SEC#: , 8-68774

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
150 Se 2nd Avenue Suite Ph 4, Miami, FL 33131
Mailing Address
150 Se 2nd Avenue Suite Ph 4, Miami, FL 33131
Phone number
(305) 712-6919
Established
Florida since 04/13/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MARIVA HOLDING GROUP, LLCSHAREHOLDER
GONZALEZ, CARLOS JAVIERCCO4294205
PARODI, GUILLERMO ANDRESCEO2829165
SINGER, STEVEN FREDERICFINOP2360737

Disclosures

Regulatory Event1

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.

Company Information

MARIVA CAPITAL MARKETS, LLC

CRD#: 156171Miami, FL 33131

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