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Alexander Bienenstock

CRD# 3148327·Registered 1998 - 2000
Previously Registered: Being a previously registered professional could mean that Alexander 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.

Professional Summary

Alexander Bienenstock was a registered financial advisor. Alexander was a previously registered financial professional and started their career in finance 1998 - 2000. Alexander had worked at 1 firm and has passed the Series 63, Series 7, Series 27 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

27 years in the financial services industry

Current & Past Employments

J. P. GIBBONS & CO., INC.·CRD# 38850
BD
New York, NY
December 14, 1998 - July 31, 2000

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Current Firm

JP
J. P. GIBBONS & CO., INC.

J. P. GIBBONS & CO., INC. | THE GOLDEN, LENDER FINANCIAL GROUP, INC.

CRD#: 38850 / SEC#: 8-48433
BD
Cancelled by SEC on 11/30/2001

Contact Information

Established

New York since 03/14/1995

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
A.F. FAMILY LIMITED PARTNERSHIPSHAREHOLDER—
JAM FAMILY LIMITED PARTNERSHIPSHAREHOLDER—
AVILES, ALBERTO JOHN JRCHIEF COMPLIANCE OFFICER / OPERATIONS OFFICER2836015
BIENENSTOCK, ALEXANDERFINOP, ASST DIRECTOR OF COMPLIANCE, VICE PRESIDENT3148327
GIBBONS, FOSTER JPRESIDENT, GENERAL COUNSEL2766670
PAK, IOSIFMANAGING DIRECTOR2603433
SWAN, EARL JOHN IIISALES MANAGER440677

Disclosures

Regulatory Event

10

Arbitration

17

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1998About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1998About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Mar 1999About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Jan 1999About the Series 24 exam

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CRS (Client Relationship Summary)

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

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