Alex T. Christie
Professional summary
Alex Tyrone Christie, who also goes by Alex Christie, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in New York, New York.
Alex is registered as a RR (Registered Representative) and started their career in finance in 1998. Alex has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alex Tyrone Christie's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 21, 2022 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 5 Hanover Sq. 12th Floor, New York, NY 10004March 18, 2019 - July 21, 2022
NATIONAL SECURITIES CORPORATION
December 5, 2017 - March 13, 2019
WELLS FARGO CLEARING SERVICES, LLC
April 13, 2017 - March 13, 2019
WELLS FARGO CLEARING SERVICES, LLC
April 7, 2014 - April 7, 2017
CREDIT SUISSE SECURITIES (USA) LLC
October 5, 2007 - December 4, 2012
PERSHING ADVISOR SOLUTIONS LLC
January 24, 2001 - October 1, 2007
EQUITABLE ADVISORS, LLC
February 10, 1998 - April 25, 2000
BNY MELLON SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/21/2022)
(7/21/2022)
(7/22/2022)
(7/21/2022)
(7/21/2022)
(7/21/2022)
(7/21/2022)
(7/21/2022)
(7/21/2022)
(7/25/2022)
(7/21/2022)
Exams
FINRA
Current Firm
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856 / SEC#: , 8-50854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARETE WEALTH INC | DIRECT OWNER | |
| BULLA, CHRISTIAN ALEXANDER | MUNICIPAL SECURITIES PRINCIPAL | 7067640 |
| CHUNG, UNBO | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 6208569 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| ROGERS, JOSHUA DEAN | CHIEF EXECUTIVE OFFICER | 3163818 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 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.
