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AF

Alexander M. Floess

ENVOY SECURITIES
Charlotte, NC 28203
Some features on this profile are disabled
CRD#: 6360400
AF

Professional summary

Alexander Michael Floess, CFA, who also goes by Alexander M Floess, is a registered financial professional currently at ENVOY SECURITIES located in Charlotte, North Carolina.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2014. Alexander has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alexander M Floess

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 Michael Floess'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®
CFA

Chartered Financial Analyst

Experience

Current

February 26, 2025 - Present

ENVOY SECURITIES

Office #1: 1422 S Tryon St Suite 300, Charlotte, NC 28203
BD
CRD#: 327493
Charlotte, NC
Past

March 16, 2021 - January 29, 2025

EQUITEQ SECURITIES LLC

BD
CRD#: 283799
NEW YORK, NY
Past

April 6, 2017 - March 24, 2021

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY
Past

November 22, 2014 - March 22, 2017

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY

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
New Jersey
(4/7/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/12/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/22/2014
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ES
ENVOY SECURITIES
ENVOY SECURITIES | ENVOY SECURITIES LLC

CRD#: 327493 / SEC#: , 8-71118

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

Main Address
1422 S Tryon St, Ste 300, Charlotte, NC 28203
Mailing Address
1422 S Tryon St, Ste 300, Charlotte, NC 28203
Phone number
(704) 251-5164
Established
Delaware since 05/03/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ENVOY CAPITAL ADVISORS LLCMANAGING MEMBER
MARTIN, GARTH MITCHELLMANAGING DIRECTOR7433278
POSTIGO, KEVIN ANDREDIRECTOR6343857
SCHLEIFER, JUSTIN HAYESCHIEF COMPLIANCE OFFICER/FINOP5977433

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

ENVOY SECURITIES

CRD#: 327493Charlotte, NC 28203

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