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Alexander Craig Blum

CRD# 2695759·Registered 1996 - 2009
Previously Registered: Being a previously registered professional could mean that Alexander 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.

Professional Summary

Alexander Craig Blum, who also goes by Alexander Blum, was a registered financial advisor. Alexander was a previously registered financial professional and started their career in finance 1996 - 2009. Alexander had worked at 9 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Alexander Blum

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

30 years in the financial services industry

Current & Past Employments

J.P. TURNER & COMPANY, L.L.C.·CRD# 43177
BD
Lake Grove, NY
July 9, 2009 - December 15, 2009
J.P. TURNER & COMPANY, L.L.C.·CRD# 43177
BD
Happauge, NY
January 9, 2006 - September 6, 2007
AMERICAN CAPITAL PARTNERS, LLC·CRD# 119249
BD
Hauppauge, NY
August 6, 2002 - June 6, 2005
MILESTONE FINANCIAL SERVICES, INC.·CRD# 43295
BD
Bohemia, NY
March 28, 2002 - August 6, 2002
EASTBROOK CAPITAL GROUP LLC·CRD# 39781
BD
New York, NY
October 16, 2000 - June 18, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.·CRD# 6694
BD
St. Petersburg, FL
January 4, 1999 - October 16, 2000
ROBERT THOMAS SECURITIES, INC·CRD# 10147
BD
St. Petersburg, FL
May 29, 1998 - January 4, 1999
GLEACHER & COMPANY SECURITIES, INC.·CRD# 298
BD
New York, NY
June 17, 1997 - June 15, 1998
ROAN CAPITAL PARTNERS L.P.·CRD# 33063
BD
New York, NY
August 1, 1996 - June 20, 1997
GRUNTAL & CO., L.L.C.·CRD# 372
BD
New York, NY
March 14, 1996 - August 5, 1996

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Current Firm

JT
J.P. TURNER & COMPANY, L.L.C.

J.P. TURNER & COMPANY | J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177 / SEC#: 8-50156
BD
Terminated by SEC on 04/04/2016

Contact Information

Established

Georgia since 04/11/1997

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BRAVES AQUISITION LLCMEMBER—
SHELSON, MARK PAULCORPORATE TREASURER1819252
WOLL, EDWARD BARNETTCHIEF COMPLIANCE OFFICER1096606

Disclosures

Regulatory Event

30

Arbitration

12

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1996About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jan 1996About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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