Alexander A. Kern
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 Arthur Kern, who also goes by Alexander Kern, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2015. Alexander had worked at 2 firms and has passed the Series 63, SIE, Series 87, Series 86 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
February 9, 2018 - December 12, 2019
IRC SECURITIES LLC
December 11, 2015 - April 7, 2017
COWEN AND COMPANY
State Registrations and Notice Filings
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Exams
Current Firm
IRC SECURITIES LLC
CRD#: 150022 / SEC#: , 8-68208
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
