AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AH

Alex Herrera

TRADEPRO SECURITIES.
Lawrenceville, GA 30044
Some features on this profile are disabled
CRD#: 2747601
AH

Professional summary

Alex Herrera, who also goes by Alejandro Herrera, is a registered financial professional currently at TRADEPRO SECURITIES, LLC. located in Lawrenceville, Georgia.

Alex is registered as a RR (Registered Representative) and started their career in finance in 1999. Alex has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alejandro Herrera

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 Alex Herrera'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

October 28, 2021 - Present

TRADEPRO SECURITIES, LLC.

Office #1: 340 Congress Parkway,, Lawrenceville, GA 30044
BD
CRD#: 103781
Lawrenceville, GA
Past

April 22, 2019 - September 21, 2020

TRADEPRO SECURITIES, LLC.

BD
CRD#: 103781
LAWRENCEVILLE, GA
Past

September 11, 2017 - March 27, 2019

BENJAMIN & JEROLD BROKERAGE I, LLC

BD
CRD#: 29110
NEW YORK, NY
Past

January 31, 2017 - September 1, 2017

THIRD SEVEN CAPITAL LLC

BD
CRD#: 160209
GREENWICH, CT
Past

December 3, 2014 - September 13, 2016

THIRD SEVEN CAPITAL LLC

BD
CRD#: 160209
GREENWICH, CT
Past

May 16, 2011 - June 10, 2011

AGILE PT GROUP LLC

BD
CRD#: 155177
NEW YORK, NY
Past

July 6, 2010 - November 26, 2013

DRIVEWEALTH INSTITUTIONAL LLC

BD
CRD#: 33038
NEW YORK, NY
Past

July 11, 2008 - June 29, 2010

RANGE GLOBAL LLC

BD
CRD#: 104393
RAMSEY, NJ
Past

April 21, 2008 - July 11, 2008

BETTERMENT SECURITIES

BD
CRD#: 47788
NEW YORK, NY
Past

October 1, 2007 - June 15, 2010

MADISON PROPRIETARY TRADING GROUP, LLC

BD
CRD#: 139818
NEW YORK, NY
Past

September 8, 2005 - June 7, 2007

BEAR WAGNER SPECIALISTS LLC

BD
CRD#: 32691
NEW YORK, NY
Past

December 9, 1999 - August 17, 2005

LABRANCHE & CO. LLC

BD
CRD#: 32661
NEW YORK, 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
Arkansas
(8/1/2022)
RR
California
(7/1/2022)
RR
Colorado
(7/1/2022)
RR
Connecticut
(7/1/2022)
RR
Florida
(7/1/2022)
RR
Indiana
(7/26/2022)
RR
Massachusetts
(7/18/2022)
RR
Michigan
(7/29/2022)
RR
Missouri
(7/1/2022)
RR
Nevada
(7/12/2022)
RR
New Jersey
(6/28/2022)
RR
New York
(6/30/2022)
RR
Ohio
(6/2/2022)
RR
Pennsylvania
(7/1/2022)
RR
South Carolina
(7/6/2022)
RR
Texas
(7/1/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/20/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/3/2010
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/18/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/20/2008
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

TS
TRADEPRO SECURITIES, LLC.
AUTOSHARES | TRADEPRO SECURITIES,INC. | TRADEPRO SECURITIES, LLC. | TRADEPRO SECURITIES, INC. | SOUTHERN TRUST SECURITIES, INC. | SOUTHERN TRUST SECURITIES ASSET MANAGEMENT, INC. | OPTIONSROUTE | CIS ASSET MANAGEMENT, INC | CAPITAL INVESTMENT SERVICES, INC.

CRD#: 103781 / SEC#: , 8-52282

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
340 Congress Parkway,, Lawrenceville, GA 30044
Mailing Address
340 Congress Parkway,, Lawrenceville, GA 30044
Phone number
(305) 446-4800
Established
Florida since 06/10/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 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#
SAMATA HOLDINGS LLCOWNER
CASS, STEPHEN JOHNPRESIDENT/FINOP/OWNER2317871
DOLAN, TERENCE JR.COO/BUSINESS DEVELOPMENT/OWNER2352516
BURGESS-GAY, CLAUDETTE YVONNECCO/AMLCO2547910

Disclosures

Regulatory Event5

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

TRADEPRO SECURITIES, LLC.

CRD#: 103781Lawrenceville, GA 30044

TRUST BUT VERIFY

Monitor Alex Herrera

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Robert L Busby
Robert BusbyAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Atlanta, GA
TP
Tyrane PerryAdvisorCheck Check Mark
J.P. MORGAN SECURITIES LLC
IAR
RR
Atlanta, GA
KC
Kermit CottrellAdvisorCheck Check Mark
STATE FARM VP MANAGEMENT CORP.
RR
Dunwoody, GA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.