Alec J. Balfour
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.
Alec John Balfour was a registered financial professional .
Alec is a previously registered financial professional and started their career in finance in 1997. Alec had worked at 3 firms and has passed the Series 63, SIE and Series 38 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2006 - October 29, 2015
HAYWOOD SECURITIES (USA) INC.
October 13, 1998 - December 20, 2006
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
June 20, 1997 - July 22, 1998
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
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 38
Date: 6/9/1997
Canada Module of the General Securities Registered Representative (Without Options Questions)Current Firm
HAYWOOD SECURITIES (USA) INC.
CRD#: 42072 / SEC#: , 8-49696
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
