Axel F. Balandrano
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.
Axel Fernando Balandrano was a registered financial professional .
Axel is a previously registered financial professional and started their career in finance in 1997. Axel had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2014 - December 31, 2024
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 17, 2014 - December 31, 2024
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 2, 2007 - April 22, 2014
PARK AVENUE SECURITIES LLC
August 15, 2005 - April 22, 2014
PARK AVENUE SECURITIES LLC
July 14, 2004 - March 14, 2005
CHASE INVESTMENT SERVICES CORP.
July 14, 2004 - March 14, 2005
CHASE INVESTMENT SERVICES CORP.
October 23, 2003 - March 15, 2004
EQUITABLE ADVISORS, LLC
October 23, 2003 - March 15, 2004
EQUITABLE ADVISORS, LLC
March 12, 1999 - July 26, 2000
BANK UNITED SECURITIES CORP.
July 8, 1997 - February 23, 1998
AMERIPRISE ADVISOR SERVICES, 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
