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AC

Alexandra Cock

Some features on this profile are disabled
CRD#: 2861812
AC

Professional summary

Alexandra Cock was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Alexandra is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Alexandra had worked at 7 firms, which includes PROTECTION POINT ADVISORS, WEALTH PLUS, BROOKLIGHT PLACE SECURITIES INC., LASALLE ST SECURITIES L.L.C., CARLOS VEYTIA & ASSOCIATES INC., EISNER SECURITIES INC., WALNUT STREET SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 29, 2020 - April 6, 2021

PROTECTION POINT ADVISORS

RIA
CRD#: 291805
San Rafael, CA
Past

December 2, 2003 - December 31, 2020

WEALTH PLUS

RIA
CRD#: 127568
SAN RAFAEL, CA
Past

July 26, 2002 - December 1, 2011

BROOKLIGHT PLACE SECURITIES, INC.

BD
CRD#: 15764
SAN RAFAEL, CA
Past

September 29, 2001 - July 22, 2002

LASALLE ST SECURITIES, L.L.C.

BD
CRD#: 7191
ELMHURST, IL
Past

June 7, 2001 - August 15, 2001

CARLOS VEYTIA & ASSOCIATES, INC.

BD
CRD#: 105591
EL PASO, TX
Past

February 17, 1998 - October 1, 2001

EISNER SECURITIES, INC.

BD
CRD#: 40585
ST. LOUIS, MO
Past

April 16, 1997 - March 12, 1998

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PP
PROTECTION POINT ADVISORS
EAGLE WEST GROUP | PROTECTION POINT ADVISORS | MODERN ASSET PROTECTION PLANNING AKA M.A.P. PLANNING | EWG ELEVATE INC. | EAGLE WEST GROUP, INC.

CRD#: 291805 / SEC#: 801-113898

RIA
Registered Investment Advisory firm - (8/27/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/3/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/15/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/15/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/26/2001
General Securities Principal Examination

Current Firm

PP
PROTECTION POINT ADVISORS
EAGLE WEST GROUP | PROTECTION POINT ADVISORS | MODERN ASSET PROTECTION PLANNING AKA M.A.P. PLANNING | EWG ELEVATE INC. | EAGLE WEST GROUP, INC.

CRD#: 291805 / SEC#: 801-113898

RIA
Registered Investment Advisory firm - (8/27/2018 Approved)
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Contact information

Main Address
3200 Douglas Blvd Ste. 305, Roseville, CA 95661
Mailing Address
Phone number
(916) 367-4540
Established
Firm type
Fiscal year end
# of Employees
23

SEC notice filing (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A-EWG ELEVATE INC. - MARCH 2025 (3/11/2025)

Regulatory assets under management

Total Number of Accounts1,620
AUM (Assets Under Management)$ 578,353,657

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

PROTECTION POINT ADVISORS

CRD#: 291805

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