Alexander Riosdoria
Professional summary
Alexander Riosdoria was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alexander is a previously registered financial professional and started their career in finance in 2007. Prior to being barred, Alexander had worked at 3 firms, which includes JOHN THOMAS FINANCIAL, NATIONAL SECURITIES CORPORATION, JOSEPH STEVENS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2010 - October 28, 2010
JOHN THOMAS FINANCIAL
April 29, 2008 - August 4, 2010
NATIONAL SECURITIES CORPORATION
October 16, 2007 - April 30, 2008
JOSEPH STEVENS & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
JOHN THOMAS FINANCIAL
CRD#: 40982 / SEC#: , 8-49254
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CASTELLANO, JOSEPH LOUIS | CHIEF COMPLIANCE OFFICER | 1158479 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 18 |
Red Flags
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