Alexander E. Dias
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 Emmanuel Dias, who also goes by Alexander Dias, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2005. Alexander had worked at 5 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55 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
January 8, 2021 - January 3, 2023
ADVENTIX GLOBAL MARKETS LLC
May 8, 2015 - May 19, 2020
CITADEL CLEARING LLC
January 13, 2009 - May 19, 2020
CITADEL SECURITIES LLC
July 17, 2006 - January 30, 2009
CITADEL TRADING GROUP L.L.C.
March 9, 2005 - June 14, 2006
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 7/16/2007
Limited Representative-Equity Trader ExamCurrent Firm
ADVENTIX GLOBAL MARKETS LLC
CRD#: 170640 / SEC#: , 8-69427
Contact information
FINRA licenses (3 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JACKSON SQUARE PARTNERS (FORMER NAME: ARDENT FINANCIAL LIMITED (UNITED KINGDOM) | 100% OWNER | |
| MCCLEAN, DAVID EDWARD | FINOP, CFO, CCO | |
| PERRY, JUSTIN MAXWELL | CEO | 2972607 |
Red Flags
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