Dave Alexandre
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.
Dave Alexandre was a registered financial professional .
Dave is a previously registered financial professional and started their career in finance in 2010. Dave had worked at 4 firms and has passed the Series 66, Series 63, 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
June 8, 2021 - October 14, 2021
WORDEN CAPITAL MANAGEMENT LLC
February 28, 2017 - April 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 2016 - April 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2012 - July 26, 2016
J.P. MORGAN SECURITIES LLC
April 15, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WORDEN CAPITAL MANAGEMENT LLC
CRD#: 148366 / SEC#: , 8-68010
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 12 |
Red Flags
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