Alexander Cortez
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 Cortez was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2008. Alexander had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2019 - April 20, 2021
TD AMERITRADE, INC.
May 15, 2019 - April 20, 2021
TD AMERITRADE, INC.
May 14, 2019 - April 20, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 13, 2015 - November 19, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 8, 2015 - November 19, 2018
TD AMERITRADE, INC.
April 8, 2015 - November 19, 2018
TD AMERITRADE, INC.
October 1, 2012 - April 16, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2012 - April 16, 2015
J.P. MORGAN SECURITIES LLC
June 27, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 25, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 7/9/2023
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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