Alexander J. Harper
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 Joseph Harper, who also goes by Alex Harper, Alexander J Harper, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2010. Alexander had worked at 5 firms and has passed the Series 66, Series 63, 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
March 24, 2015 - May 24, 2016
FRED ALGER & COMPANY, LLC
December 4, 2014 - March 16, 2015
STRATEGIC ADVISERS LLC
February 6, 2013 - March 13, 2015
FIDELITY BROKERAGE SERVICES LLC
September 13, 2011 - January 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 15, 2011 - January 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2010 - July 13, 2011
NEWBRIDGE SECURITIES CORPORATION
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
FRED ALGER & COMPANY, LLC
CRD#: 5300 / SEC#: , 8-15900
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
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.
