Alexandre L. Spodak
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 L Spodak, who also goes by Alexandre Louis Spodak, was a registered financial professional .
Alexandre is a previously registered financial professional and started their career in finance in 2008. Alexandre had worked at 4 firms and has passed the Series 66, SIE 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
February 8, 2017 - November 16, 2023
ARES MANAGEMENT CAPITAL MARKETS LLC
October 18, 2010 - February 4, 2016
ALLIANCEBERNSTEIN L.P.
October 18, 2010 - February 4, 2016
SANFORD C. BERNSTEIN & CO., LLC
November 17, 2008 - September 16, 2010
UBS FINANCIAL SERVICES INC.
April 23, 2008 - September 16, 2010
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ARES MANAGEMENT CAPITAL MARKETS LLC
CRD#: 166219 / SEC#: , 8-69194
Contact information
FINRA licenses (51 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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