AS
Alexander C. Schardt
INVESCO DISTRIBUTORS
SAN DIEGO, CA
Some features on this profile are disabled
CRD#: 3232500
AS
Professional summary
Alexander C Schardt, who also goes by Alex C Schardt, is a registered financial professional currently at INVESCO DISTRIBUTORS, INC. located in San Diego, California.
Alexander is registered as a RR (Registered Representative) and started their career in finance in 2001. Alexander has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alex C Schardt
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.
CRS (Client Relationship Summary) - BD
Click below to view Alexander C Schardt'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®
NoneExperience
Current
May 25, 2019 - Present
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
SAN DIEGO, CA
Past
February 28, 2007 - May 25, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
December 6, 2006 - February 12, 2007
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
March 5, 2004 - October 23, 2006
BNY MELLON SECURITIES CORPORATION
RIA
CRD#: 231
NEW YORK, NY
Past
February 2, 2004 - October 23, 2006
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
September 2, 2003 - February 6, 2004
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
November 20, 2001 - June 30, 2003
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
Alabama(1/27/2023)
RR
Alaska(1/27/2023)
RR
Arizona(1/27/2023)
RR
Arkansas(1/27/2023)
RR
California(5/25/2019)
RR
Colorado(1/27/2023)
RR
Connecticut(1/27/2023)
RR
Delaware(1/27/2023)
RR
District of Columbia(1/27/2023)
RR
Florida(1/27/2023)
RR
Georgia(1/27/2023)
RR
Hawaii(1/27/2023)
RR
Idaho(1/27/2023)
RR
Illinois(1/27/2023)
RR
Indiana(1/27/2023)
RR
Iowa(1/27/2023)
RR
Kansas(1/27/2023)
RR
Kentucky(1/27/2023)
RR
Louisiana(1/27/2023)
RR
Maine(1/27/2023)
RR
Maryland(1/27/2023)
RR
Massachusetts(1/27/2023)
RR
Michigan(1/27/2023)
RR
Minnesota(1/27/2023)
RR
Mississippi(1/27/2023)
RR
Missouri(1/27/2023)
RR
Montana(1/27/2023)
RR
Nebraska(1/27/2023)
RR
Nevada(5/25/2019)
RR
New Hampshire(1/27/2023)
RR
New Jersey(1/27/2023)
RR
New Mexico(1/27/2023)
RR
New York(1/27/2023)
RR
North Carolina(1/27/2023)
RR
North Dakota(1/27/2023)
RR
Ohio(1/27/2023)
RR
Oklahoma(1/27/2023)
RR
Oregon(1/27/2023)
RR
Pennsylvania(1/27/2023)
RR
Puerto Rico(1/27/2023)
RR
Rhode Island(1/27/2023)
RR
South Carolina(1/27/2023)
RR
South Dakota(1/27/2023)
RR
Tennessee(1/27/2023)
RR
Texas(1/27/2023)
RR
Utah(1/27/2023)
RR
Vermont(1/27/2023)
RR
Virgin Islands(1/27/2023)
RR
Virginia(1/27/2023)
RR
Washington(1/27/2023)
RR
West Virginia(1/27/2023)
RR
Wisconsin(1/27/2023)
RR
Wyoming(1/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ID
INVESCO DISTRIBUTORS, INC.
A I M DISTRIBUTORS, INC. | INVESCO DISTRIBUTORS, INC. | INVESCO AIM DISTRIBUTORS, INC. (EFFECTIVE 03/31/08) | INVESCO AIM DISTRIBUTORS, INC. | A.I.M. DISTRIBUTORS, INC. | A I M DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Phone number
(713) 214-1919
Established
Delaware since 11/18/1976
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 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.
