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AR

Alexander S. Rowe

SOLIC CAPITAL LLC
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 4992459
AR

Professional summary

Alexander S Rowe, who also goes by Alex S Rowe, is a registered financial professional currently at SOLIC CAPITAL LLC located in Chicago, Illinois.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2012. Alexander has worked at 6 firms and has passed the Series 63, Series 65, Series 82TO, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex S Rowe

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alexander S Rowe's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 5, 2022 - Present

SOLIC CAPITAL LLC

Office #1: 444 West Lake Street Suite 2450, Chicago, IL 60606
BD
CRD#: 158911
CHICAGO, IL
Past

March 24, 2021 - December 21, 2021

COLONNADE SECURITIES LLC

BD
CRD#: 144771
CHICAGO, IL
Past

August 15, 2019 - November 17, 2020

STILLPOINT CAPITAL, LLC

BD
CRD#: 133146
TAMPA, FL
Past

February 2, 2015 - June 22, 2018

SIKICH CORPORATE FINANCE LLC

BD
CRD#: 149024
CHICAGO, IL
Past

June 18, 2013 - February 4, 2014

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
CHICAGO, IL
Past

June 18, 2013 - February 4, 2014

OPPENHEIMER & CO. INC.

BD
CRD#: 249
CHICAGO, IL
Past

September 10, 2012 - May 30, 2013

MORGAN STANLEY

RIA
CRD#: 149777
CHICAGO, IL
Past

August 28, 2012 - May 30, 2013

MORGAN STANLEY

BD
CRD#: 149777
CHICAGO, IL
Past

January 13, 2012 - March 28, 2012

MORGAN STANLEY

BD
CRD#: 149777
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(10/5/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/21/2012
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/7/2012
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 6/22/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 6/12/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 1/12/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SOLIC CAPITAL LLC
SOLIC CAPITAL LLC

CRD#: 158911 / SEC#: , 8-68942

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
444 West Lake Street Suite 2450, Chicago, IL 60606
Mailing Address
444 West Lake Street Suite 2450, Chicago, IL 60606
Phone number
(847) 583-1618
Established
Delaware since 05/24/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SOLIC HOLDINGS LLCMEMBER
CASAS, EDWARD RAULMANAGING MEMBER4813169
LENART, BRIAN DOUGLASEXECUTIVE REP, CCO, AMLCO, CFO, FINOP, PFO/POO736107

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.

Company Information

SOLIC CAPITAL LLC

CRD#: 158911Chicago, IL 60606

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