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AO

Alexander J. Oval

ARIEL DISTRIBUTORS
Chicago, IL 60601
Some features on this profile are disabled
CRD#: 6619053
AO

Professional summary

Alexander Johnson Oval, who also goes by Alec Johnson Oval, is a registered financial professional currently at ARIEL DISTRIBUTORS, LLC located in Chicago, Illinois.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2020. Alexander has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alec Johnson Oval

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 Johnson Oval's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 26, 2024 - Present

ARIEL DISTRIBUTORS, LLC

Office #1: 200 East Randolph Street Suite 2900, Chicago, IL 60601Office #2: 200 East Randolph Street Suite 2900, Chicago, IL 60601
BD
CRD#: 38333
Chicago, IL
Past

September 12, 2020 - September 3, 2024

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
Chicago, IL

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
Illinois
(1/27/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/25/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/12/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/20/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/2/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AD
ARIEL DISTRIBUTORS, LLC
ARIEL DISTRIBUTORS, INC. | ARIEL DISTRIBUTORS, LLC

CRD#: 38333 / SEC#: , 8-48238

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

Main Address
200 East Randolph Street Suite 2900, Chicago, IL 60601
Mailing Address
200 East Randolph Street Suite 2900, Chicago, IL 60601
Phone number
(312) 726-0140
Established
Delaware since 10/23/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARIEL INVESTMENTS HOLDING COMPANY, LLCSOLE UNITHOLDER
CALDERON, CARLOS ESTUARDOSENIOR VICE PRESIDENT, FINANCE6864114
CAMPBELL, ROBERT NMNFINOP, PFO, POO1349154
FOX, WENDY DEVORAHSENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER4870574
ORLOWSKI, BONNIE ELIZABETHPRESIDENT, CHAIRMAN, MANAGER3121598
RODRIGUEZ-AYALA, EMMA LEONOREXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER6183654
WEBER, ROOPA PATELSENIOR VICE PRESIDENT, DIRECTOR OF MARKETING AND SPECIAL PROJECTS3026056

Disclosures

Regulatory Event1

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

ARIEL DISTRIBUTORS, LLC

CRD#: 38333Chicago, IL 60601

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