Alexander S. Rowe
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 S Rowe, who also goes by Alex S Rowe, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2012. Alexander had worked at 6 firms and has passed the Series 63, Series 65, Series 82TO, SIE, Series 79 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2022 - August 21, 2026
SOLIC CAPITAL LLC
March 24, 2021 - December 21, 2021
COLONNADE SECURITIES LLC
August 15, 2019 - November 17, 2020
STILLPOINT CAPITAL, LLC
February 2, 2015 - June 22, 2018
SIKICH CORPORATE FINANCE LLC
June 18, 2013 - February 4, 2014
OPPENHEIMER & CO. INC.
June 18, 2013 - February 4, 2014
OPPENHEIMER & CO. INC.
September 10, 2012 - May 30, 2013
MORGAN STANLEY
August 28, 2012 - May 30, 2013
MORGAN STANLEY
January 13, 2012 - March 28, 2012
MORGAN STANLEY
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 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsCurrent Firm
SOLIC CAPITAL LLC
CRD#: 158911 / SEC#: , 8-68942
Contact information
FINRA licenses (3 States and Territories)
Documents
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.
