Alex C. Walkingshaw
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 Colburn Walkingshaw was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 2015. Alex had worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 31 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 7, 2018 - December 23, 2020
COMMONFUND SECURITIES, INC.
June 5, 2015 - March 21, 2018
FISHER INVESTMENTS
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
COMMONFUND SECURITIES, INC.
CRD#: 43541 / SEC#: , 8-50337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONFUND HOLDING COMPANY, INC. | SHAREHOLDER | |
| BARD, NANCY KIERNAN | MANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS | 1324063 |
| CERASUOLO, VIOLETTA | CHIEF COMPLIANCE OFFICER | 5362546 |
| DURRELL, SUSAN KERR | MANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS | 2945336 |
| HARITON, ANITA LYNNE | PRESIDENT AND CHIEF EXECUTIVE OFFICER; CHAIR, BOARD OF DIRECTORS | 4104946 |
| SPONGBERG, JONATHAN D | TREASURER | 5521666 |
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.
