Alexander C. Staley
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.
Alexander C Staley, CFP®, who also goes by Alex Charles Staley, Ace Staley, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2012. Alexander had worked at 3 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2023 - April 10, 2024
NDVR
June 27, 2019 - March 3, 2021
KINGSVIEW WEALTH MANAGEMENT, LLC
February 6, 2012 - April 15, 2019
PORTFOLIO BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
NDVR
CRD#: 310602 / SEC#: 801-120289
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NDVR
CRD#: 310602 / SEC#: 801-120289
Contact information
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 345 |
| AUM (Assets Under Management) | $ 203,828,690 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 08/23/2023 | ||
| 09/28/2022 |
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.
