Alphonse K. Asare
Professional summary
Alphonse Kwesi Asare is a registered financial professional currently at IEX SERVICES LLC located in New York, New York and IEX DAP LLC located in New York, New York.
Alphonse is registered as a RR (Registered Representative) and started their career in finance in 2021. Alphonse has worked at 2 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alphonse Kwesi Asare's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 18, 2021 - Present
IEX SERVICES LLC
Office #1: 3 World Trade Ctr 175 Greenwich Street 58th Floor, New York, NY, 10007November 4, 2022 - Present
IEX DAP LLC
Office #1: 3 World Trade Center 175 Greenwich Street 58th Floor, New York, NY, 10007Office #2: 3 World Trade Center 175 Greenwich Street 58th Floor, New York, NY, 10007State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
IEX DAP LLC
CRD#: 318014 / SEC#: , 8-70869
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IEX DAP GROUP LLC | PARENT | |
| KATSUYAMA, BRADLEY TOSHIO | PRESIDENT | 4463961 |
| ASARE, ALPHONSE KWESI | PRINCIPAL OPERATIONS OFFICER | 6140970 |
| DUKESHERER, JACK ROBERT | CHIEF COMPLIANCE OFFICER | 5671449 |
| OCONNELL, TERRANCE DANIEL | FINANCIAL AND OPERATIONS PRINCIPAL & PRINCIPAL FINANCIAL OFFICER | 4898427 |
| RESNICK, CRAIG | CHIEF FINANCIAL OFFICER | 5718420 |
Red Flags
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