Alexander B. Evans

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CRD#: 4915071

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 B Evans, who also goes by Alexander Bates Evans, Alexander Evans, was a registered financial professional .

Alexander is a previously registered financial professional and started their career in finance in 2005. Alexander had worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 87, Series 7, Series 39, Series 26 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alexander Bates Evans | Alexander Evans

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)

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

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

Past

January 30, 2025 - May 7, 2025

CHAUNER SECURITIES, INC.

CRD#: 10075

NORTHBROOK, IL

Past

December 6, 2023 - November 26, 2024

ASHFORD SECURITIES LLC

CRD#: 305330

DALLAS, TX

Past

August 8, 2022 - September 5, 2023

E*TRADE SECURITIES LLC

CRD#: 29106

Alpharetta, GA

Past

January 19, 2022 - January 2, 2024

MORGAN STANLEY

CRD#: 149777

Alpharetta, GA

Past

July 31, 2017 - October 29, 2021

PREFERRED CAPITAL SECURITIES, LLC

CRD#: 169719

Atlanta, GA

Past

September 4, 2014 - July 17, 2017

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

April 15, 2010 - June 25, 2014

KALOS MANAGEMENT

RIA

CRD#: 133025

ALPHARETTA, GA

Past

April 12, 2010 - June 25, 2014

KALOS CAPITAL, INC.

CRD#: 44337

ALPHARETTA, GA

Past

May 11, 2009 - March 19, 2010

E*TRADE SECURITIES LLC

CRD#: 29106

ALPHARETTA, GA

Past

March 19, 2008 - April 29, 2009

MML INVESTORS SERVICES, LLC

CRD#: 10409

ATLANTA, GA

Past

April 24, 2006 - March 5, 2008

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

May 5, 2005 - August 3, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

KNOXVILLE, TN

Past

March 9, 2005 - August 3, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/3/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/11/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 8/15/2007

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 3/8/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 39

Date: 1/2/2023

Direct Participation Programs Principal Examination

Principal/Supervisory Exam

Series 26

Date: 1/2/2023

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/25/2006

General Securities Principal Examination

Current Firm

CHAUNER SECURITIES, INC.

CHAUNER & COTTER, INC. | CHAUNER, GRAVER & ASSOCIATES, INC. | CHAUNER, COTTER & GRAVER, INC. | CHAUNER SECURITIES, INC.

CRD#: 10075 / SEC#: , 8-33980

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

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Contact information

Main Address

666 Dundee Road, Suite 903, Northbrook, IL 60062-2735

Mailing Address

666 Dundee Road, Suite 903, Northbrook, IL 60062-2735

Phone number

(847) 509-8880

Established

Illinois since 04/10/1985

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SARAH C. CYPHERS TRUST	TRUST
CHAUNER, FRANK BYRON	VICE PRESIDENT	735725
CYPHERS, SARAH C.	PRESIDENT, CHIEF COMPLIANCE OFFICER, TRUSTEE	4691733

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Alexander B. Evans

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASHFORD SECURITIES LLC

E*TRADE SECURITIES LLC

MORGAN STANLEY

PREFERRED CAPITAL SECURITIES, LLC

FSC SECURITIES CORPORATION

KALOS MANAGEMENT

KALOS CAPITAL, INC.

E*TRADE SECURITIES LLC

MML INVESTORS SERVICES, LLC

J.P. TURNER & COMPANY, L.L.C.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/3/2005

Series 63

Date: 4/11/2005

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 87

Date: 8/15/2007

Series 7

Date: 3/8/2005

Series 39

Date: 1/2/2023

Series 26

Date: 1/2/2023

Series 24

Date: 10/25/2006

Current Firm

CHAUNER SECURITIES, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CHAUNER SECURITIES, INC.

TRUST BUT VERIFY

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