Alexander J. Henderson

Some features on this profile are disabled

CRD#: 6859489

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 Jack Henderson, who also goes by Alec Ferrell, Alexander Jack Ferrell, Alexander Ferrell, Alec Henderson, was a registered financial professional .

Alexander is a previously registered financial professional and started their career in finance in 2017. Alexander had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alec Ferrell | Alexander Jack Ferrell | Alexander Ferrell | Alec Henderson

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

February 19, 2021 - February 4, 2022

BMO ASSET MANAGEMENT CORP.

RIA

CRD#: 106466

CHICAGO, IL

Past

January 2, 2020 - December 31, 2021

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

Chicago, IL

Past

November 9, 2018 - December 31, 2020

BMO ASSET MANAGEMENT CORP.

RIA

CRD#: 106466

CHICAGO, IL

Past

November 9, 2018 - December 31, 2019

BMO INVESTMENT DISTRIBUTORS, LLC

CRD#: 146711

CHICAGO, IL

Past

January 25, 2018 - October 29, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DENVER, CO

Past

November 24, 2017 - October 29, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

DENVER, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BMO ASSET MANAGEMENT CORP.

CRD#: 106466 / SEC#: 801-35533

RIA

Registered Investment Advisory firm - (11/17/1989 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/24/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/24/2017

General Securities Representative Examination

Current Firm

BMO ASSET MANAGEMENT CORP.

CRD#: 106466 / SEC#: 801-35533

RIA

Registered Investment Advisory firm - (11/17/1989 Approved)

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

320 S. Canal Street 12th Floor, Chicago, IL 60606

Mailing Address

Phone number

(312) 461-4002

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BMO AM-ADV PART 2A AMENDMENT_05.15.2025 (5/15/2025)

Regulatory assets under management

Total Number of Accounts	16
AUM (Assets Under Management)	$ 5,186,280,670

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alexander J. Henderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESIDE FINANCIAL SERVICES, LLC

BMO ASSET MANAGEMENT CORP.

BMO INVESTMENT DISTRIBUTORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

BMO ASSET MANAGEMENT CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/24/2018

SIE

Date: 10/1/2018

Series 7

Date: 11/24/2017

Current Firm

BMO ASSET MANAGEMENT CORP.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BMO ASSET MANAGEMENT CORP.

TRUST BUT VERIFY

Similar Advisors