Alex Colon
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.
Alex Colon, who also goes by Alexandro Colon, was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 2003. Alex had worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE 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 11, 2017 - March 13, 2023
MAREX CAPITAL MARKETS INC.
September 30, 2011 - June 27, 2017
MIZUHO SECURITIES USA LLC
December 26, 2008 - September 23, 2011
RBC CAPITAL MARKETS, LLC
June 1, 2007 - December 23, 2008
UBS SECURITIES LLC
April 3, 2006 - March 15, 2007
J.P. MORGAN SECURITIES INC.
July 2, 2004 - September 1, 2005
CIS SECURITIES, INC.
January 29, 2004 - May 13, 2004
BANC ONE SECURITIES CORPORATION
January 29, 2004 - May 13, 2004
BANC ONE SECURITIES CORPORATION
May 27, 2003 - January 8, 2004
CITIGROUP GLOBAL MARKETS INC.
February 5, 2003 - January 8, 2004
CITIGROUP GLOBAL MARKETS INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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