Alex Y. Faulken
Professional summary
Alex Young Faulken, who also goes by Alex Young Faulken, Alex Faulken, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
Alex is registered as a RR (Registered Representative) and started their career in finance in 2007. Alex has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alex Young Faulken's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 20, 2024 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901February 27, 2023 - November 29, 2023
RBC CAPITAL MARKETS, LLC
February 10, 2020 - February 13, 2023
OSAIC SERVICES, INC.
February 10, 2020 - February 13, 2023
OSAIC WEALTH, INC.
February 10, 2020 - February 13, 2023
FSC SECURITIES CORPORATION
February 3, 2020 - February 13, 2023
WOODBURY FINANCIAL SERVICES, INC.
May 14, 2019 - February 11, 2020
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 8, 2014 - May 2, 2019
WOODBURY FINANCIAL SERVICES, INC.
March 12, 2007 - June 6, 2013
ALLIANZ LIFE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/20/2024)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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