Alexander R. Turner Frowein
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 Robert Turner Frowein, who also goes by Alexander R Turner, Alexander Turner Frowein, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2014. Alexander had worked at 3 firms and has passed the Series 63, Series 66, SIE 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
May 5, 2017 - August 7, 2017
DAVID LERNER ASSOCIATES, INC.
May 8, 2015 - August 13, 2015
INTERACTIVE BROKERS LLC
August 1, 2014 - August 29, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 31, 2014 - August 29, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
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