Alexander C. Blum
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 Craig Blum, who also goes by Alexander Blum, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1996. Alexander had worked at 9 firms and has passed the Series 63 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
July 9, 2009 - December 15, 2009
J.P. TURNER & COMPANY, L.L.C.
January 9, 2006 - September 6, 2007
J.P. TURNER & COMPANY, L.L.C.
August 6, 2002 - June 6, 2005
AMERICAN CAPITAL PARTNERS, LLC
March 28, 2002 - August 6, 2002
MILESTONE FINANCIAL SERVICES, INC.
October 16, 2000 - June 18, 2002
EASTBROOK CAPITAL GROUP LLC
January 4, 1999 - October 16, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 29, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
June 17, 1997 - June 15, 1998
GLEACHER & COMPANY SECURITIES, INC.
August 1, 1996 - June 20, 1997
ROAN CAPITAL PARTNERS L.P.
March 14, 1996 - August 5, 1996
GRUNTAL & CO., L.L.C.
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
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
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.
