Alexander K. Wyatt
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.
Alexander Knox Wyatt III was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2003. Alexander had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2013 - January 5, 2015
SOFI SECURITIES LLC
January 26, 2010 - January 31, 2013
MML INVESTORS SERVICES, LLC
June 25, 2008 - June 11, 2009
VOYA FINANCIAL ADVISORS, INC.
August 7, 2003 - December 31, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SOFI SECURITIES LLC
CRD#: 151717 / SEC#: , 8-68389
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
