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AA

Alexander S. Aldworth

DINAN CAPITAL ADVISORS
Atlanta, GA 30326
Some features on this profile are disabled
CRD#: 6817654
AA

Professional summary

Alexander Sean Aldworth is a registered financial professional currently at DINAN CAPITAL ADVISORS located in Atlanta, Georgia.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2017. Alexander has worked at 3 firms 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) - BD

Click below to view Alexander Sean Aldworth's 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

March 3, 2023 - Present

DINAN CAPITAL ADVISORS

Office #1: 3340 Peachtree Road Ne Suite 1755, Atlanta, GA 30326
BD
CRD#: 157327
Atlanta, GA
Past

January 22, 2020 - February 15, 2023

BROOKWOOD ASSOCIATES, L.L.C.

BD
CRD#: 26061
ATLANTA, GA
Past

July 7, 2017 - February 19, 2019

BOWSTRING ADVISORS, LLC

BD
CRD#: 150367
ATLANTA, GA

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
Arizona
(3/3/2023)
RR
Georgia
(3/3/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/17/2017
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: 7/7/2017
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DC
DINAN CAPITAL ADVISORS
CERES CAPITAL ADVISORS | DINAN CAPITAL ADVISORS, CERES CAPITAL ADVISORS | DINAN CAPITAL ADVISORS | DCCA SECURITIES, LLC

CRD#: 157327 / SEC#: , 8-68847

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

Main Address
307 N Gateway Blvd, Phoenix, AZ 85008-6589
Mailing Address
307 N Gateway Blvd, Phoenix, AZ 85008-6589
Phone number
(855) 955-1500
Established
Arizona since 02/16/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DINAN & COMPANY, LLCMEMBER / MANAGER
DINAN, MICHAEL ANTHONYCEO, PRINCIPAL1598465
KELLY, JOHN GREGORYEVP, PRINCIPAL5651780
MAIN, THOMAS BENNETTSVP, PRINCIPAL5912844
MARTINEZ, NANCY DINANCCO5912831
MILLER, DAVID WELLSCFO-FINOP334612

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

DINAN CAPITAL ADVISORS

CRD#: 157327Atlanta, GA 30326

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