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Alexander M. Isaacson

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CRD#: 6799478
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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 Michael Isaacson was a registered financial professional .

Alexander is a previously registered financial professional and started their career in finance in 2018. Alexander had worked at 1 firm and has passed the Series 63, SIE and Series 79 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

September 26, 2018 - March 11, 2019

TORREYA CAPITAL, LLC

BD
CRD#: 288632
NEW YORK, NY

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: 12/14/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/26/2018
Investment Banking Registered Representative Examination

Current Firm

TC
TORREYA CAPITAL, LLC
TORREYA CAPITAL, LLC

CRD#: 288632 / SEC#: , 8-69954

BD
Terminated by SEC on 07/18/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/12/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STIFEL FINANCIAL CORP.SHAREHOLDER
HALASY, HALE (NMN)CHIEF COMPLIANCE OFFICER1837514
KREBS, MICHAEL JOSEPHDIRECTOR OF FINANCE, FINOP, PFO, POO5847726
STACK-BABICH, THOMAS ALEXANDERCHIEF EXECUTIVE OFFICER AND PRESIDENT5765432

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

TORREYA CAPITAL, LLC

CRD#: 288632

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