Alex B. Devivo
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.
Alex Brian Devivo, who also goes by Alex Devivo, was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 2006. Alex had worked at 2 firms and has passed the Series 63, SIE, Series 3, 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
April 15, 2014 - December 3, 2018
BARINGS SECURITIES LLC
June 22, 2006 - December 20, 2007
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
BARINGS SECURITIES LLC
CRD#: 36929 / SEC#: , 8-47589
Contact information
FINRA licenses (52 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.
