Alexander M. Shagas

CAPITAL ONE SECURITIES

New York, NY 10171

Some features on this profile are disabled

CRD#: 4846137

Professional summary

Alexander M Shagas, who also goes by Alex M Shagas, Aleksandr M Shagas, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in New York, New York and KIPPSDESANTO & COMPANY located in Mclean, Virginia.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2004. Alexander has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alex M Shagas | Aleksandr M Shagas

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 Alexander M Shagas'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

January 29, 2019 - Present

CAPITAL ONE SECURITIES, INC.

Office #1: 299 Park Avenue 28th Floor, New York, NY 10171

CRD#: 44158

New York, NY

Current

November 1, 2019 - Present

KIPPSDESANTO & COMPANY

Office #1: 1675 Capital One Dr. Suite 1200, Mclean, VA 22102

CRD#: 45763

Mclean, VA

Current

February 17, 2022 - Present

TRIPLETREE, LLC

Office #1: 299 Park Avenue 14th Floor, New York, NY 10171

CRD#: 42820

New York, NY

Past

November 13, 2015 - July 23, 2019

CAPITAL ONE INVESTING, LLC

CRD#: 45744

Seattle, WA

Past

May 16, 2005 - August 24, 2006

ELLIOTT COVE CAPITAL MANAGEMENT

RIA

CRD#: 123636

SEATTLE, WA

Past

August 24, 2004 - October 12, 2004

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(1/31/2019)

Exams

State Security Law Exam

Series 63

Date: 1/27/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/13/2005

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/23/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/24/2016

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

TRIPLETREE, LLC

CHERRY TREE & CO., LLC | TRIPLETREE, LLC

CRD#: 42820 / SEC#: , 8-50015

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

8200 Normandale Lake Blvd 7th Floor, Bloomington, MN 55437

Mailing Address

8200 Normandale Lake Blvd 7th Floor, Bloomington, MN 55437

Phone number

(952) 223-8400

Established

Minnesota since 01/13/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CAPITAL ONE, N.A.	SHAREHOLDER
HALPRIN, GABRIELLE BAILLEUX	CHIEF FINANCIAL OFFICER/FINOP	5087341
MULLIGAN, ROBERT	CHIEF COMPLIANCE OFFICER	1584973
ROER, PATRICIA LANG	DIRECTOR	3157205
ROTH, JUSTIN J	PRESIDENT/HEAD OF INVESTMENT BANKING	6886704
TULIP, STEVEN ANDREW	DIRECTOR	2540149

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alexander M. Shagas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alexander M Shagas's CRS (Customer Relationship Summary).

Certified licenses

Experience

KIPPSDESANTO & COMPANY

TRIPLETREE, LLC

CAPITAL ONE INVESTING, LLC

ELLIOTT COVE CAPITAL MANAGEMENT

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/27/2016

Series 65

Date: 5/13/2005

SIE

Date: 10/1/2018

Series 6

Date: 8/23/2004

Series 24

Date: 5/24/2016

FINRA

Nasdaq Stock Market

Current Firm

TRIPLETREE, LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TRIPLETREE, LLC

TRUST BUT VERIFY

Similar Advisors