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AP

Alejandro Palacio

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CRD#: 6224154
AP

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.

Alejandro Palacio was a registered financial professional .

Alejandro is a previously registered financial professional and started their career in finance in 2013. Alejandro had worked at 1 firm and has passed the Series 63, SIE 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

July 15, 2013 - June 16, 2015

COMMERCE ONE FINANCIAL INC.

BD
CRD#: 100340
SYOSSET, NY

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: 7/28/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/16/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/2013
General Securities Representative Examination

Current Firm

CO
COMMERCE ONE FINANCIAL INC.
COMMERCE ONE | MURJEN FINANCIAL, INC. | COMMERCE ONE FINANCIAL INC.

CRD#: 100340 / SEC#: , 8-52032

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

Main Address
6800 Jericho Turnpike Suite 104w, Syosset, NY 11791
Mailing Address
6800 Jericho Turnpike Suite 104w, Syosset, NY 11791
Phone number
(516) 227-2277
Established
New York since 10/22/1998
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
JENNINGS, THOMAS JAMESPRESIDENT/CEO/SROP/CROP/CCO

Disclosures

Regulatory Event2
Arbitration2

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

COMMERCE ONE FINANCIAL INC.

CRD#: 100340

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