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AH

Alexander J. Hecker

SB1 CAPITAL MARKETS
New York, NY 10016
Some features on this profile are disabled
CRD#: 6140462
AH

Professional summary

Alexander Jeremy Hecker, who also goes by Alex Hecker, is a registered financial professional currently at SB1 CAPITAL MARKETS INC located in New York, New York and ALDER SECURITIES LLC located in Greenwich, Connecticut.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2013. Alexander has worked at 11 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 14, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex Hecker

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) - BD

Click below to view Alexander Jeremy Hecker's CRS (Customer Relationship Summary).

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

Current

January 21, 2025 - Present

SB1 CAPITAL MARKETS INC

Office #1: 260 Madison Ave 8th Floor, New York, NY 10016
BD
CRD#: 154132
New York, NY
Current

March 6, 2025 - Present

ALDER SECURITIES LLC

BD
CRD#: 326041
GREENWICH, CT
Current

June 4, 2025 - Present

SQUARE GLOBAL MARKETS

Office #1: Soho Works 430 West 14th Street 3rd Floor, New York, NY 10014
BD
CRD#: 158419
NEW YORK, NY
Current

August 1, 2025 - Present

EAGLE POINT SECURITIES LLC

Office #1: 600 Steamboat Road Suite 202, Greenwich, CT 06830
BD
CRD#: 324528
Greenwich, CT
Past

July 19, 2019 - November 12, 2024

SOFI WEALTH LLC

RIA
CRD#: 167958
Claymont, DE
Past

July 17, 2019 - November 12, 2024

SOFI SECURITIES LLC

BD
CRD#: 151717
Claymont, DE
Past

August 13, 2018 - July 16, 2019

REALTA INVESTMENT ADVISORS, INC

RIA
CRD#: 134952
WILMINGTON, DE
Past

August 8, 2018 - July 16, 2019

REALTA EQUITIES, INC.

BD
CRD#: 23769
WILMINGTON, DE
Past

November 2, 2016 - August 7, 2018

CAPITAL ONE ADVISORS, LLC

RIA
CRD#: 136865
Wilmington, DE
Past

November 2, 2016 - August 7, 2018

CAPITAL ONE INVESTING, LLC

BD
CRD#: 45744
WILMINGTON, DE
Past

February 3, 2015 - August 8, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEWARK, DE
Past

October 2, 2013 - November 26, 2014

CAPITAL ONE ADVISORS, LLC

RIA
CRD#: 136865
MCLEAN, VA
Past

June 3, 2013 - November 26, 2014

CAPITAL ONE INVESTING, LLC

BD
CRD#: 45744
WILMINGTON, DE

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/9/2025)
RR
Connecticut
(10/27/2025)
RR
New York
(6/4/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/28/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/21/2025
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/1/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/21/2025
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/6/2020
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/11/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EP
EAGLE POINT SECURITIES LLC
EAGLE POINT SECURITIES LLC

CRD#: 324528 / SEC#: , 8-71048

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

Main Address
600 Steamboat Road Suite 202, Greenwich, CT 06830
Mailing Address
600 Steamboat Road Suite 202, Greenwich, CT 06830
Phone number
(203) 340-8565
Established
Delaware since 11/29/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
EAGLE POINT HOLDINGS LPSOLE MEMBER
CHUNG, MICHAEL NMNFINOP/PFO5739877
DAIGLE, JENNIFFER ALYCEVICE PRESIDENT2620553
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER (POO)4197747
FOX, GERHARD ROBERTCHIEF COMPLIANCE OFFICER2796860
ROTH, JOSEPH HARRISPRESIDENT7673254

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

EAGLE POINT SECURITIES LLC

CRD#: 324528New York, NY 10016

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