Robert C. Alexander
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.
Robert Carter Alexander JR was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1997. Robert had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 31 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
October 23, 2012 - March 3, 2015
PNC CAPITAL ADVISORS LLC
February 3, 2012 - February 27, 2015
FORESIDE DISTRIBUTION SOLUTIONS, LLC
April 4, 2005 - February 1, 2010
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
March 29, 2004 - October 8, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 23, 2003 - October 8, 2004
WELLS FARGO CLEARING SERVICES, LLC
February 12, 1997 - April 30, 1998
SANFORD C. BERNSTEIN & CO., INC.
Primary Firm SEC Registration
PNC CAPITAL ADVISORS LLC
CRD#: 151829 / SEC#: 801-70684
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
PNC CAPITAL ADVISORS LLC
CRD#: 151829 / SEC#: 801-70684
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 573 |
| AUM (Assets Under Management) | $ 42,558,194,728 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 08/24/2023 | ||
| 09/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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