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Alexander B Evans

CRD# 4915071·Registered 2005 - 2025
Previously Registered: Being a previously registered professional could mean that Alexander 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

Alexander B Evans, who also goes by Alexander Bates Evans, Alexander Evans, was a registered financial advisor. Alexander was a previously registered financial professional and started their career in finance 2005 - 2025. 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.

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

Alexander Bates Evans, Alexander Evans

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

21 years in the financial services industry

Current & Past Employments

CHAUNER SECURITIES, INC.·CRD# 10075
BD
Northbrook, IL
January 30, 2025 - May 7, 2025
ASHFORD SECURITIES LLC·CRD# 305330
BD
Dallas, TX
December 6, 2023 - November 26, 2024
E*TRADE SECURITIES LLC·CRD# 29106
BD
Alpharetta, GA
August 8, 2022 - September 5, 2023
MORGAN STANLEY·CRD# 149777
BD
Alpharetta, GA
January 19, 2022 - January 2, 2024
PREFERRED CAPITAL SECURITIES, LLC·CRD# 169719
BD
Atlanta, GA
July 31, 2017 - October 29, 2021
FSC SECURITIES CORPORATION·CRD# 7461
BD
Atlanta, GA
September 4, 2014 - July 17, 2017
KALOS MANAGEMENT·CRD# 133025
RIA
Alpharetta, GA
April 15, 2010 - June 25, 2014
KALOS CAPITAL, INC.·CRD# 44337
BD
Alpharetta, GA
April 12, 2010 - June 25, 2014
E*TRADE SECURITIES LLC·CRD# 29106
BD
Alpharetta, GA
May 11, 2009 - March 19, 2010
MML INVESTORS SERVICES, LLC·CRD# 10409
BD
Atlanta, GA
March 19, 2008 - April 29, 2009
J.P. TURNER & COMPANY, L.L.C.·CRD# 43177
BD
Atlanta, GA
April 24, 2006 - March 5, 2008
MORGAN STANLEY DW INC.·CRD# 7556
RIA
Knoxville, TN
May 5, 2005 - August 3, 2005
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
March 9, 2005 - August 3, 2005

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Current Firm

CS
CHAUNER SECURITIES, INC.

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

CRD#: 10075 / SEC#: 8-33980
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Contact Information

Main Address

666 Dundee Road, Suite 1101, Northbrook, IL 60062-2735

Mailing Address

666 Dundee Road, Suite 1101, 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

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SARAH C. CYPHERS TRUSTTRUST—
CYPHERS, SARAH C.PRESIDENT, CHIEF COMPLIANCE OFFICER, TRUSTEE4691733

Disclosures

Regulatory Event

1

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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 66 — Uniform Combined State Law Examination

Passed May 2005About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2005About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 87 — Research Analyst Exam - Part II Regulations Module

Passed Aug 2007About the Series 87 exam

Series 7 — General Securities Representative Examination

Passed Mar 2005About the Series 7 exam

Series 39 — Direct Participation Programs Principal Examination

Passed Jan 2023About the Series 39 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Jan 2023About the Series 26 exam

Series 24 — General Securities Principal Examination

Passed Oct 2006About the Series 24 exam

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CRS (Client Relationship Summary)

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

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