AL
Alex J. Luthringer
MACQUARIE CAPITAL (USA)
NEW YORK, NY 10103
Some features on this profile are disabled
CRD#: 6824823
AL
Professional summary
Alex John Luthringer is a registered financial professional currently at MACQUARIE CAPITAL (USA) INC. located in New York, New York.
Alex is registered as a RR (Registered Representative) and started their career in finance in 2023. Alex has worked at 2 firms and has passed the Series 63, Series 86, Series 87 and SIE exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Alex John Luthringer'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®
NoneExperience
Current
October 30, 2025 - Present
MACQUARIE CAPITAL (USA) INC.
Office #1: 660 5th Ave, New York, NY 10103BD
CRD#: 36368
NEW YORK, NY
Past
January 27, 2023 - December 16, 2024
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
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(11/7/2025)
RR
California(10/31/2025)
RR
Colorado(11/6/2025)
RR
Connecticut(11/7/2025)
RR
Delaware(11/7/2025)
RR
Florida(10/30/2025)
RR
Georgia(10/31/2025)
RR
Idaho(10/30/2025)
RR
Illinois(10/30/2025)
RR
Kansas(10/30/2025)
RR
Kentucky(10/30/2025)
RR
Louisiana(11/6/2025)
RR
Maine(11/6/2025)
RR
Massachusetts(10/31/2025)
RR
Michigan(10/30/2025)
RR
Minnesota(10/30/2025)
RR
Mississippi(10/30/2025)
RR
Missouri(10/30/2025)
RR
Montana(10/30/2025)
RR
Nebraska(10/30/2025)
RR
Nevada(11/9/2025)
RR
New Jersey(10/30/2025)
RR
New Mexico(11/7/2025)
RR
New York(11/6/2025)
RR
Ohio(10/30/2025)
RR
Oklahoma(10/30/2025)
RR
Oregon(10/30/2025)
RR
Pennsylvania(11/6/2025)
RR
South Carolina(10/30/2025)
RR
South Dakota(10/30/2025)
RR
Tennessee(11/6/2025)
RR
Texas(10/30/2025)
RR
Utah(10/31/2025)
RR
Vermont(11/6/2025)
RR
Virginia(11/7/2025)
RR
Washington(10/30/2025)
RR
West Virginia(11/6/2025)
RR
Wisconsin(10/30/2025)
RR
Wyoming(10/31/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MC
MACQUARIE CAPITAL (USA) INC.
MACQUARIE CAPITAL (USA) INC. | MACQUARIE SECURITIES INC. | MACQUARIE SECURITIES (USA) INC. | MACQUARIE EQUITIES (U.S.A.) INC.
CRD#: 36368 / SEC#: , 8-47198
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
660 5th Ave, New York, NY 10103
Mailing Address
660 5th Ave, New York, NY 10103
Phone number
(212) 231-1000
Established
Delaware since 03/01/1994
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
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.
