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AS

Alec T. Schappert

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CRD#: 6742159
AS

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.

Alec Thomas Schappert was a registered financial professional .

Alec is a previously registered financial professional and started their career in finance in 2017. Alec had worked at 2 firms and has passed the Series 63, SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 19, 2017 - February 20, 2018

MLV & CO. LLC

BD
CRD#: 150959
Arlington, VA
Past

February 21, 2017 - February 20, 2018

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
ARLINGTON, VA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/17/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/20/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 2/21/2017
Operations Professional Examination

Current Firm

M&
MLV & CO. LLC
MCNICOLL, LEWIS & VLAK LLC | MLV & CO. LLC

CRD#: 150959 / SEC#: , 8-68331

BD
Terminated by SEC on 08/24/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/04/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FBR CAPITAL MARKETS HOLDINGS, INC.DIRECT OWNER
BONNEMA, STEPHEN JOSEPHCFO2229865
MARKUNAS, MICHAELCHIEF COMPLIANCE OFFICER1832307
MCNICOLL, PATRICECEO3199758

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

MLV & CO. LLC

CRD#: 150959

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