Alexandria N. Mccarthy
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.
Alexandria Nadine Mccarthy, who also goes by Alexandria N Novak, Alexandria Nadine Novak, was a registered financial professional .
Alexandria is a previously registered financial professional and started their career in finance in 2002. Alexandria had worked at 5 firms and has passed the Series 63, Series 6TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2012 - June 11, 2021
BRINKER CAPITAL SECURITIES, LLC
November 23, 2009 - August 15, 2012
GUARDIAN INVESTOR SERVICES LLC
November 1, 2007 - September 28, 2009
ALLIANCEBERNSTEIN INVESTMENTS, INC.
February 28, 2005 - October 25, 2007
EQUITABLE DISTRIBUTORS, LLC
August 9, 2002 - March 8, 2005
DWS DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 6TO
Date: 3/30/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
BRINKER CAPITAL SECURITIES, LLC
CRD#: 38123 / SEC#: , 8-48110
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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.
