Alexander Barrios
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.
Alexander Barrios was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1998. Alexander had worked at 5 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2013 - July 24, 2018
COE CAPITAL MANAGEMENT, LLC
July 8, 2010 - March 7, 2011
B. RILEY & CO., LLC
November 20, 2007 - July 1, 2010
LADENBURG THALMANN & CO. INC.
March 28, 2006 - September 17, 2007
LADENBURG THALMANN ASSET MANAGEMENT INC
November 20, 2002 - September 17, 2007
LADENBURG THALMANN & CO. INC.
December 2, 1998 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 5/22/2009
Limited Representative-Equity Trader ExamCurrent Firm
COE CAPITAL MANAGEMENT, LLC
CRD#: 112447 / SEC#: 801-56483
Contact information
Red Flags
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