Alexander G. Conteh
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 Gerard Conteh, who also goes by Alex Gerard Conteh, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2000. Alexander had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2016 - January 25, 2019
ALLIANZ LIFE FINANCIAL SERVICES, LLC
March 18, 2013 - December 19, 2014
CCO CAPITAL, LLC
January 22, 2008 - February 7, 2013
ALLIANZ LIFE FINANCIAL SERVICES, LLC
March 14, 2001 - December 31, 2003
NATIONAL PLANNING CORPORATION
May 25, 2000 - January 3, 2008
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
February 21, 2000 - May 17, 2000
COREBRIDGE CAPITAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
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.
