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AW

Alex Y. Wang

INNOVATION CAPITAL
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 5424488
AW

Professional summary

Alex Y Wang is a registered financial professional currently at INNOVATION CAPITAL, LLC located in Boca Raton, Florida.

Alex is registered as a RR (Registered Representative) and started their career in finance in 2007. Alex has worked at 1 firm and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Y Wang's 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

October 23, 2007 - Present

INNOVATION CAPITAL, LLC

Office #1: 2255 Glades Road Suite 324a, Boca Raton, FL 33431
BD
CRD#: 133551
Boca Raton, FL

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
California
(1/8/2008)
RR
Iowa
(7/9/2013)
RR
Washington
(7/9/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 1/7/2008
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: 10/22/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IC
INNOVATION CAPITAL, LLC
INNOVATION CAPITAL, LLC

CRD#: 133551 / SEC#: , 8-66734

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

Main Address
2255 Glades Road Suite 324a, Boca Raton, FL 33431
Mailing Address
2255 Glades Road Suite 324a, Boca Raton, FL 33431
Phone number
(561) 725-0702
Established
Louisiana since 02/16/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
INNOVATION CAPITAL HOLDING, LLCSHAREHOLDER
SODL, MATTHEW JOSEPHPRESIDENT, CCO, AML-CO2868101
THORNTON, STEVEN LEEFINOP4496384
THORNTON, STEVEN LEEPRINCIPAL4496384

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

INNOVATION CAPITAL, LLC

CRD#: 133551Boca Raton, FL 33431

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