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AL

Alejandro Levy Schwed

INVESTX MARKETS LLC
New York, NY 10038
Some features on this profile are disabled
CRD#: 6202422
AL

Professional summary

Alejandro Levy Schwed, who also goes by Alejandro Levy, Alejandro Levy Schwed, is a registered financial professional currently at INVESTX MARKETS LLC located in New York, New York.

Alejandro is registered as a RR (Registered Representative) and started their career in finance in 2014. Alejandro has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alejandro Levy | Alejandro Levy Schwed

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 Alejandro Levy Schwed's CRS (Customer Relationship Summary).
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

August 7, 2020 - Present

INVESTX MARKETS LLC

Office #1: 19 Fulton Street Suite 300, New York, NY 10038
BD
CRD#: 148248
New York, NY
Past

September 20, 2019 - September 18, 2020

RAINMAKER SECURITIES, LLC

BD
CRD#: 132995
CORAL GABLES, FL
Past

September 10, 2019 - September 16, 2019

INSIGHT SECURITIES, INC.

BD
CRD#: 5611
HIGHLAND PARK, IL
Past

June 20, 2018 - February 28, 2019

LAIDLAW WEALTH MANAGEMENT LLC

RIA
CRD#: 150040
NEW YORK, NY
Past

June 18, 2018 - February 28, 2019

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
NEW YORK, NY
Past

March 1, 2017 - February 12, 2018

VALLEY FINANCIAL MANAGEMENT, INC.

RIA
CRD#: 105387
NEW YORK, NY
Past

March 1, 2017 - February 12, 2018

VALLEY FINANCIAL MANAGEMENT, INC.

BD
CRD#: 105387
NEW YORK, NY
Past

December 3, 2014 - July 1, 2015

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
MIAMI, FL
Past

February 4, 2014 - July 1, 2015

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
MIAMI, FL

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
Alabama
(2/25/2021)
RR
Alaska
(2/19/2021)
RR
Arizona
(8/26/2020)
RR
Arkansas
(3/3/2021)
RR
California
(8/7/2020)
RR
Colorado
(8/7/2020)
RR
Connecticut
(2/9/2021)
RR
Delaware
(1/28/2021)
RR
Florida
(8/7/2020)
RR
Georgia
(2/23/2021)
RR
Idaho
(1/28/2021)
RR
Illinois
(8/7/2020)
RR
Indiana
(2/4/2021)
RR
Iowa
(1/28/2021)
RR
Kansas
(1/28/2021)
RR
Kentucky
(2/1/2021)
RR
Louisiana
(2/1/2021)
RR
Maine
(3/16/2021)
RR
Maryland
(2/9/2021)
RR
Massachusetts
(8/7/2020)
RR
Michigan
(1/28/2021)
RR
Minnesota
(5/10/2021)
RR
Mississippi
(1/28/2021)
RR
Missouri
(3/17/2021)
RR
Montana
(2/9/2021)
RR
Nebraska
(2/9/2021)
RR
Nevada
(8/7/2020)
RR
New Hampshire
(2/5/2021)
RR
New Jersey
(8/25/2020)
RR
New Mexico
(5/7/2021)
RR
New York
(8/7/2020)
RR
North Carolina
(8/7/2020)
RR
North Dakota
(2/9/2021)
RR
Ohio
(1/28/2021)
RR
Oklahoma
(1/28/2021)
RR
Pennsylvania
(8/7/2020)
RR
Rhode Island
(2/1/2021)
RR
South Carolina
(8/13/2020)
RR
South Dakota
(2/17/2021)
RR
Tennessee
(7/3/2024)
RR
Texas
(8/21/2020)
RR
Utah
(1/29/2021)
RR
Vermont
(11/5/2020)
RR
Virgin Islands
(3/19/2021)
RR
Virginia
(8/7/2020)
RR
Washington
(2/8/2021)
RR
West Virginia
(2/25/2021)
RR
Wisconsin
(1/28/2021)
RR
Wyoming
(2/3/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/24/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/4/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IM
INVESTX MARKETS LLC
AUCTUS SECURITIES, LLC | WOODVILLE HALL CAPITAL, LLC | INVESTX MARKETS LLC

CRD#: 148248 / SEC#: , 8-67996

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

Main Address
19 Fulton Street Suite 300, New York, NY 10038
Mailing Address
19 Fulton Street Suite 300, New York, NY 10038
Phone number
(212) 390-9270
Established
Virginia since 10/17/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
INVESTX FINANCIAL (UNITED STATES) INC.100% OWNER
NEW, MARCUS A.CCO7235082
SANDERS, DANIEL TAYLORCEO2673344
VIGLIAROLO, JOSEPH CHARLESFINOP4880434

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

INVESTX MARKETS LLC

CRD#: 148248New York, NY 10038

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