Alejandro J. Vegas

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CRD#: 3151901

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.

Alejandro Jose Vegas, who also goes by Alejandro J Vegas, Alejandro Vegas, Alex Vegas, was a registered financial professional .

Alejandro is a previously registered financial professional and started their career in finance in 1999. Alejandro had worked at 5 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alejandro J Vegas | Alejandro Vegas | Alex Vegas

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)

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

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

Past

January 28, 2015 - May 4, 2016

VEST FINANCIAL LLC

RIA

CRD#: 165976

MCLEAN, VA

Past

June 3, 2009 - November 10, 2009

HARRISDIRECT LLC

RIA

CRD#: 42159

ARLINGTON, VA

Past

May 27, 2005 - November 10, 2009

E*TRADE SECURITIES LLC

CRD#: 29106

BOSTON, MA

Past

April 2, 2001 - April 29, 2004

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 21, 1999 - March 23, 2001

LEERINK PARTNERS LLC

CRD#: 39011

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VEST FINANCIAL LLC

CBOE VEST FINANCIAL LLC | VEST FINANCIAL LLC | VEST | CONVEXCEL ASSET MANAGEMENT LLC | CONVEXCEL

CRD#: 165976 / SEC#: 801-77463

RIA

Registered Investment Advisory firm - (1/3/2013 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/26/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/2/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/27/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/20/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/31/2007

General Securities Principal Examination

Current Firm

VEST FINANCIAL LLC

CBOE VEST FINANCIAL LLC | VEST FINANCIAL LLC | VEST | CONVEXCEL ASSET MANAGEMENT LLC | CONVEXCEL

CRD#: 165976 / SEC#: 801-77463

RIA

Registered Investment Advisory firm - (1/3/2013 Approved)

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Contact information

Main Address

8350 Broad St Suite 240, Mclean, VA 22102-5150

Mailing Address

Phone number

(855) 979-6060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/5/2025)

Regulatory assets under management

Total Number of Accounts	145
AUM (Assets Under Management)	$ 39,304,330,239

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.

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Firm Stability Insights

Alejandro J. Vegas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

LEHMAN BROTHERS INC.

LEERINK PARTNERS LLC

Primary Firm SEC Registration

VEST FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/26/2015

Series 66

Date: 6/2/2009

Series 63

Date: 4/27/1999

Series 7

Date: 4/20/1999

Series 24

Date: 7/31/2007

Current Firm

VEST FINANCIAL LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VEST FINANCIAL LLC

TRUST BUT VERIFY

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