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AF

Alexander W. Faust

EP SECURITIES
New York, NY 10016
Some features on this profile are disabled
CRD#: 3130777
AF

Professional summary

Alexander Wolfgang Faust is a registered financial professional currently at EP SECURITIES, LLC located in New York, New York.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 1999. Alexander has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

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) - BD

Click below to view Alexander Wolfgang Faust's CRS (Customer Relationship Summary).

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

Current

March 16, 2010 - Present

EP SECURITIES, LLC

Office #1: 275 Madison Ave Suite 1901, New York, NY 10016
BD
CRD#: 150774
New York, NY
Past

October 5, 2006 - October 5, 2006

BARRINGTON ASSOCIATES

BD
CRD#: 25626
LOS ANGELES, CA
Past

October 5, 2006 - June 26, 2009

WELLS FARGO SECURITIES, LLC

BD
CRD#: 7665
LOS ANGELES, CA
Past

January 21, 1999 - May 3, 2001

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(3/18/2010)
RR
Florida
(3/13/2024)
RR
New York
(3/17/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 12/20/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/29/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ES
EP SECURITIES, LLC
EP SECURITIES, LLC

CRD#: 150774 / SEC#: , 8-68297

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
275 Madison Ave Suite 1901, New York, NY 10016
Mailing Address
275 Madison Ave Suite 1901, New York, NY 10016
Phone number
(212) 297-1724
Established
Delaware since 05/28/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
EXCEL PARTNERS HOLDINGS LLCOWNER
DONOHUE, DOUGLAS STILESCEO/ SECRETARY/ MEMBER1969102
HELLER, JEFFREY PHILIPFINOP/CFO3139370
KLARIN, DARVIN DARKOCCO1039190
SOH, EDWARD YOUNGPRESIDENT / CO-CCO2557224

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

EP SECURITIES, LLC

CRD#: 150774New York, NY 10016

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