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AC

Alex J. Conti

UHY CAPITAL GROUP
Farmington Hills, MI 48334
Some features on this profile are disabled
CRD#: 4436583
AC

Professional summary

Alex John Conti is a registered financial professional currently at UHY CAPITAL GROUP, LLC located in Farmington Hills, Michigan.

Alex is registered as a RR (Registered Representative) and started their career in finance in 2011. Alex has worked at 2 firms and has passed the Series 63, Series 82TO, SIE, Series 79, 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 Alex John Conti'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®
None

Experience

Current

March 8, 2019 - Present

UHY CAPITAL GROUP, LLC

Office #1: 27725 Sansbury Blvd Suite 385, Farmington Hills, MI 48334
BD
CRD#: 117867
Farmington Hills, MI
Past

October 3, 2013 - January 18, 2018

UHY CAPITAL GROUP, LLC

BD
CRD#: 117867
FARMINGTON HILLS, MI
Past

July 18, 2011 - October 1, 2012

ERNST & YOUNG CAPITAL ADVISORS, LLC

BD
CRD#: 152514
DETROIT, MI

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
Michigan
(1/3/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 10/14/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 1/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/21/2011
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/29/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/2/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

UC
UHY CAPITAL GROUP, LLC
CENTERPRISE CAPITAL, LLC | UHY CAPITAL GROUP, LLC | UHY ADVISORS CORPORATE FINANCE, LLC

CRD#: 117867 / SEC#: , 8-53608

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

Main Address
27725 Stansbury Blvd Suite 385, Farmington Hills, MI 48334
Mailing Address
27725 Stansbury Blvd Suite 385, Farmington Hills, MI 48334
Phone number
(312) 399-8514
Established
Delaware since 12/22/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
UHY ADVISORS, INC.SHAREHOLDER
CONTI, ALEX JOHNCEO4436583
MEGENITY, BRIAN MCDONALDCHIEF COMPLIANCE OFFICER, FINOP, CFO2889637

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

UHY CAPITAL GROUP, LLC

CRD#: 117867Farmington Hills, MI 48334

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