Alexander Franco
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 Franco, who also goes by Alexander C Franco, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1996. Alexander had worked at 7 firms and has passed the Series 65, Series 63, 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
February 13, 2018 - October 8, 2018
AEON CAPITAL INC
January 7, 2016 - February 24, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 26, 2002 - February 6, 2003
KIRLIN SECURITIES INC.
August 23, 2000 - December 7, 2000
LADENBURG THALMANN & CO. INC.
August 24, 1998 - October 6, 1998
NATIONAL CLEARING CORP.
May 13, 1998 - August 20, 1998
HARRISDIRECT LLC
July 18, 1997 - April 21, 1998
LADENBURG THALMANN & CO. INC.
August 29, 1996 - August 22, 1997
M.S. FARRELL & COMPANY, 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
Current Firm
AEON CAPITAL INC
CRD#: 164004 / SEC#: , 8-69080
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEON CAPITAL MARKETS, LLC | OWNER | |
| MALLIOS, DEMETRIOS | OWNER - CCO | 3169758 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
