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Alejandro Rotundo

CRD# 4627887·Registered 2003 - 2017
Previously Registered: Being a previously registered professional could mean that Alejandro 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

Alejandro Rotundo, who also goes by Alejandro C Rotundo, was a registered financial advisor. Alejandro was a previously registered financial professional and started their career in finance 2003 - 2017. Alejandro had worked at 3 firms and has passed the Series 65, Series 66 and Series 7 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

Alejandro C Rotundo

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

19 years in the financial services industry

Current & Past Employments

7A FINANCIAL LLC·CRD# 174949
RIA
Miami, FL
November 6, 2015 - December 31, 2017
MORGAN KEEGAN & COMPANY, LLC·CRD# 4161
RIA
Coral Gables, FL
March 21, 2007 - September 13, 2010
MORGAN KEEGAN & COMPANY, LLC·CRD# 4161
BD
Coral Gables, FL
February 8, 2007 - September 13, 2010
MARTINEZ-AYME SECURITIES·CRD# 109838
BD
Miami, FL
April 25, 2003 - May 21, 2003

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Current Firm

7F
7A FINANCIAL LLC

7A FINANCIAL LLC

CRD#: 174949

Contact Information

Main Address

601 Brickell Key Dr. Suite 700, Miami, FL 33131

Documents

Latest Form ADV

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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 65 — Uniform Investment Adviser Law Examination

Passed Oct 2015About the Series 65 exam

Series 66 — Uniform Combined State Law Examination

Passed Mar 2007About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed Feb 2007About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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