Alejandro R. Beguiristain
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 Robert Beguiristain, who also goes by Alejandro Robert Beguiristain, Alex R Beguiristain, Alex Robert Beguiristain, was a registered financial professional .
Alejandro is a previously registered financial professional and started their career in finance in 2004. Alejandro had worked at 18 firms and has passed the Series 65, 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
June 30, 2023 - August 9, 2024
TD PRIVATE CLIENT WEALTH LLC
June 29, 2023 - August 9, 2024
TD PRIVATE CLIENT WEALTH LLC
September 29, 2021 - June 30, 2023
IP FINANCIAL ADVISORY SERVICES LLC
September 28, 2021 - June 30, 2023
INNOVATION PARTNERS LLC
April 12, 2019 - October 19, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 14, 2019 - October 19, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 15, 2018 - January 30, 2019
BCI SECURITIES, INC.
August 16, 2016 - November 9, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 22, 2016 - November 9, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 29, 2015 - April 20, 2016
STRATEGIC ADVISERS LLC
May 12, 2015 - April 12, 2016
FIDELITY BROKERAGE SERVICES LLC
January 16, 2014 - April 15, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 25, 2013 - April 15, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 28, 2013 - September 5, 2013
VALIC FINANCIAL ADVISORS, INC.
June 19, 2012 - July 24, 2013
TRUIST INVESTMENT SERVICES, INC.
March 9, 2012 - June 22, 2012
NEW ENGLAND SECURITIES
February 2, 2011 - June 28, 2011
HSBC SECURITIES (USA) INC.
February 19, 2010 - January 25, 2011
BB&T INVESTMENT SERVICES, INC.
August 22, 2007 - July 10, 2009
TRANSAMERICA CAPITAL, LLC
April 1, 2006 - August 16, 2007
METLIFE INVESTORS DISTRIBUTION COMPANY
June 30, 2004 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
May 26, 2004 - June 23, 2004
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
