Alex B. Bach
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.
Alex Benjamin Bach, who also goes by Alex Bach, was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 2016. Alex had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2022 - January 20, 2023
DRIVEWEALTH, LLC
October 20, 2016 - March 17, 2022
GOLDMAN SACHS & CO. 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
What does exam status mean?
Series 79
Passed: 10/20/2016
Current Firm
DRIVEWEALTH, LLC
CRD#: 165429 / SEC#: , 8-69161
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
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.
