Alexandre P. Guimaraes
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.
Alexandre Pereira Guimaraes, who also goes by Alex P Guimaraes, Alexandre P Guimaraes, was a registered financial advisor .
Alexandre is a previously registered financial advisor and started their career in finance in 2005. Alexandre had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2006 - March 19, 2007
AIS FINANCIAL, INC.
December 13, 2005 - August 25, 2006
WADDELL & REED
November 22, 2005 - August 25, 2006
WADDELL & REED
June 24, 2005 - September 1, 2005
THE LEADERS GROUP, 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
Current Firm
AIS FINANCIAL, INC.
CRD#: 41462 / SEC#: , 8-49444
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
