Alejandro Gonzalez
Professional summary
Alejandro Gonzalez, who also goes by Alex Gonzalez, is a registered financial professional currently at AXOS CLEARING LLC located in Edison, New Jersey.
Alejandro is registered as a RR (Registered Representative) and started their career in finance in 2007. Alejandro has worked at 6 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alejandro Gonzalez's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2023 - Present
AXOS CLEARING LLC
Office #1: 110 Fieldcrest Ave 4th Floor, Edison, NJ 08837July 5, 2014 - May 27, 2022
CREDIT SUISSE SECURITIES (USA) LLC
September 25, 2013 - December 16, 2013
IBKR SECURITIES SERVICES LLC
April 20, 2009 - July 9, 2012
INTESA SANPAOLO IMI SECURITIES CORP.
September 22, 2008 - February 12, 2009
BARCLAYS CAPITAL INC.
February 6, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/31/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationBOX Exchange LLC
Cboe BZX Exchange, Inc.
FINRA
Investors' Exchange LLC
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
AXOS CLEARING LLC
CRD#: 117176 / SEC#: , 8-53595
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXOS SECURITIES, LLC | SOLE OWNER | |
| CROW, DAVID MICHAEL | PRESIDENT, AXOS CLEARING, LLC | 4370102 |
| FAUCHER, KATHY NOEL | AML OFFICER | 6323326 |
| GREEN, HOWARD MICHAEL | CHIEF FINANCIAL OFFICER | 2535812 |
| KINSELLA, SHAWN ROBERT | CHIEF COMPLIANCE OFFICER | 5793966 |
| PLUMMER, JEFFREY KENT | PRINCIPAL OPERATIONS OFFICER | 4576783 |
| SHIRMANG, STEPHEN LOWELL | CHIEF OPERATIONS OFFICER | 3083416 |
Disclosures
| Regulatory Event | 13 |
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.
