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AS

Alex Sin

COMERICA SECURITIES
AUBURN HILLS, MI 48326
Some features on this profile are disabled
CRD#: 5180915
AS

Professional summary

Alex Sin, who also goes by Alexander Sin, is a registered financial professional currently at COMERICA SECURITIES located in Auburn Hills, Michigan.

Alex is registered as a RR (Registered Representative) and started their career in finance in 2008. Alex has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alexander Sin

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 Alex Sin's CRS (Customer Relationship Summary).
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

March 21, 2012 - Present

COMERICA SECURITIES

Office #1: 3701 Hamlin Road Mc 7476, Auburn Hills, MI 48326
BD
CRD#: 17079
AUBURN HILLS, MI
Past

April 4, 2008 - March 22, 2012

MORGAN JOSEPH TRIARTISAN LLC

BD
CRD#: 10948
NEW YORK, NY

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
Michigan
(3/21/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 4/18/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/3/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/20/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
COMERICA SECURITIES
ADVANTAGE INVESTMENT SERVICE | MANUBANK INVESTMENT SERVICES CORPORATION | COMERICA SECURITIES,INC. | COMERICA SECURITIES | COMERCIA SECURITIES

CRD#: 17079 / SEC#: 801-64897, 8-35001

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

Main Address
1000 Woodward Ave, Detroit, MI 48226
Mailing Address
36455 Corporate Drive Mail Code 3291, Farmington Hills, MI 48331
Phone number
(214) 462-1117
Established
Michigan since 10/10/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
211

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

COMERICA SECURITIES ADV PART 2 DISCLOSURE BROCHURE (4/26/2023)
COMERICA SECURITIES WRAP FEE PROGRAM BROCHURE (4/26/2023)

Direct owners and executive officers

NamePositionCRD#
COMERICA INVESTMENT SERVICES, INC.SHAREHOLDER
AMOS, NICHOLAS CHARLESDIRECTOR2013807
CARR, JAMESDIRECTOR4353199
MAIER, JOHN BONIFACEDIRECTOR1812378
MURDOCK, WILLIAM BCEO/PRESIDENT/CHAIRMAN5777100
SCHELL, RICHARD EDWARDDIRECTOR/ SENIOR VICE PRESIDENT/ CCO1543415
THAIRANI, POOJADIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER7869698

Regulatory assets under management

Total Number of Accounts4,527
AUM (Assets Under Management)$ 2,385,128,214

Disclosures

Regulatory Event13
Arbitration3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/11/2023
Cover Page
Report
12/05/2022
Cover Page
Report

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

COMERICA SECURITIES

CRD#: 17079Auburn Hills, MI 48326

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