Alexander J. Cote
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 Jeffrey Dwyer Cote, who also goes by Alex Jeffrey Cote, Alex Cote, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2012. Alexander had worked at 4 firms and has passed the Series 66, SIE, Series 79 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
October 19, 2018 - January 8, 2019
WILLIAM HOOD & COMPANY
April 19, 2018 - September 4, 2018
AXIA CAPITAL MARKETS, LLC
May 17, 2013 - November 1, 2013
BESSEMER INVESTOR SERVICES, INC.
August 20, 2012 - September 28, 2012
WADDELL & REED
August 3, 2012 - September 28, 2012
WADDELL & REED
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
WILLIAM HOOD & COMPANY
CRD#: 293416 / SEC#: , 8-70124
Contact information
FINRA licenses (11 States and Territories)
Documents
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.
