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Alexander Von Ziegesar

CRD# 4223762·Registered 2001 - 2023
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 Von Ziegesar was a registered financial advisor. Alexander was a previously registered financial professional and started their career in finance 2001 - 2023. Alexander had worked at 3 firms and has passed the Series 63, SIE, Series 7 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.

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Videos & Posts

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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

18 years in the financial services industry

Current & Past Employments

ADVENT CAPITAL DISTRIBUTORS, LLC·CRD# 299740
BD
New York, NY
January 30, 2020 - March 28, 2023
BBVA SECURITIES INC.·CRD# 27060
BD
New York, NY
June 2, 2008 - September 16, 2016
A.B. WATLEY, INC.·CRD# 797
BD
New York, NY
March 30, 2001 - May 14, 2001

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Current Firm

AC
ADVENT CAPITAL DISTRIBUTORS, LLC

ADVENT CAPITAL DISTRIBUTORS, LLC

CRD#: 299740 / SEC#: 8-70257
BD
Terminated by SEC on 05/26/2023

Contact Information

Established

Delaware since 04/05/2018

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
ADVENT CAPITAL MANAGEMENT, LLCSOLE MEMBER113013
KRZAK, ALEXANDER JACOBPRINCIPAL OPERATIONS OFFICER6349160
MARLIN, ROSS EVANCHIEF COMPLIANCE OFFICER6931826
RIORDAN, TIFFANY ANNEFINOP & PFO6313437

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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 Jun 2020About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Sep 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 2008About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2013About 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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