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Fred C. Alexander Iii

FIRST BALLANTYNE
Charlotte, NC 28277
Some features on this profile are disabled
CRD#: 4129726
FA

Professional summary

Fred Calvin Alexander Iii is a registered financial professional currently at FIRST BALLANTYNE, LLC located in Charlotte, North Carolina.

Fred is registered as a RR (Registered Representative) and started their career in finance in 2000. Fred has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Fred Calvin Alexander Iii's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 25, 2003 - Present

FIRST BALLANTYNE, LLC

Office #1: 13950 Ballantyne Corporate Place, Suite 185, Charlotte, NC 28277Office #2: 13950 Ballantyne Corporate Place Suite 185, Charlotte, NC 28277-2747
BD
CRD#: 125393
Charlotte, NC
Past

April 18, 2000 - November 11, 2003

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, NJ

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
North Carolina
(11/25/2003)

Exams

State Security Law Exam
RR
Series 63
Date: 8/22/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/17/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/26/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FB
FIRST BALLANTYNE, LLC
FIRST BALLANTYNE, LLC

CRD#: 125393 / SEC#: , 8-65792

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
13950 Ballantyne Corporate Place Suite 185, Charlotte, NC 28277-2747
Mailing Address
13950 Ballantyne Corporate Place Suite 185, Charlotte, NC 28277-2747
Phone number
(704) 927-2900
Established
North Carolina since 12/30/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EDWARDS, CHRISTOPHER SCARRCEO2613607
FORD, JAMES MICHAEL MR.PRESIDENT4778415
ANDERSON, TROY WILLIAMREGISTERED REPRESENTATIVE4452390
ALEXANDER III, FRED CALVINREGISTERED REPRESENTATIVE4129726
TEAM, JOHN STEPHENCFO, FINOP, CCO4378014

Disclosures

Regulatory Event1

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.

Company Information

FIRST BALLANTYNE, LLC

CRD#: 125393Charlotte, NC 28277

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