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AB

Alexander P. Behm

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CRD#: 5894401
AB

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 Patrick Behm was a registered financial professional .

Alexander is a previously registered financial professional and started their career in finance in 2011. Alexander had worked at 1 firm and has passed the Series 63 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 14, 2011 - January 30, 2013

QUINCY CASS ASSOCIATES, INCORPORATED

BD
CRD#: 686
LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/13/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/13/2011
General Securities Representative Examination

Current Firm

QC
QUINCY CASS ASSOCIATES, INCORPORATED
QUINCY CASS ASSOCIATES, INC. | QUINCY CASS ASSOCIATES, INCORPORATED

CRD#: 686 / SEC#: , 8-5743

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

Main Address
11111 Santa Monica Blvd Suite 1650, Los Angeles, CA 90025
Mailing Address
11111 Santa Monica Blvd. Suite 1650, Los Angeles, CA 90025
Phone number
(310) 473-4411
Established
California since 02/14/1933
Firm type
Corporation
Fiscal year end
November
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
MINICHIELLO, MARK CHARLESC.E.O / ROSFP / CHIEF COMPLIANCE OFFICER1863304
CHAVEZ, GUADALUPE BENITEZSHARHOLDER4524777
TERRAZAS, REBECCASHAREHOLDER4745911
RAVITZ, JO -ANSHAREHOLDER
ADAMS, DEANNA MARIACHIEF INVESTMENT OFFICER7475707
GUAY, DANIEL ROBERTCHIEF FINANCIAL OFFICER / FINOP4015808

Disclosures

Regulatory Event6
Bond1

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

QUINCY CASS ASSOCIATES, INCORPORATED

CRD#: 686

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