Alejandro Alanis
Professional Summary
Alejandro Alanis is a registered financial advisor currently at PTMA INVESTMENT ADVISORS located in Naperville, Illinois and PMA SECURITIES, LLC located in Naperville, Illinois. Alejandro is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Alejandro has worked at 4 firms and has passed the Series 66, Series 52TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
VERTEX PARTNERS
EDWARD JONES
THE DALA GROUP, LLC
J.P. MORGAN SECURITIES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
VERTEX PARTNERS
EDWARD JONES
THE DALA GROUP, LLC
J.P. MORGAN SECURITIES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
VERTEX PARTNERS
EDWARD JONES
THE DALA GROUP, LLC
J.P. MORGAN SECURITIES LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
VERTEX PARTNERS
EDWARD JONES
THE DALA GROUP, LLC
J.P. MORGAN SECURITIES LLC
Years of Experience
8 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
VERTEX PARTNERS
EDWARD JONES
THE DALA GROUP, LLC
J.P. MORGAN SECURITIES LLC
Current Firm
PMA ASSET MANAGEMENT, LLC | PTMA INVESTMENT ADVISORS | PRUDENT MAN ADVISORS, LLC
Contact Information
Main Address
2135 Citygate Lane 7th Floor, Naperville, IL 60563Phone Number
(630) 657-6400# of Employees
157SEC notice filing (15 States and Territories)
Registered to provide investment advisory services in 15 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
508AUM (Assets Under Management)
$30,592,958,541Similar Advisors
VERTEX PARTNERS
EDWARD JONES
THE DALA GROUP, LLC
J.P. MORGAN SECURITIES LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
VERTEX PARTNERS
EDWARD JONES
THE DALA GROUP, LLC
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
PMA ASSET MANAGEMENT, LLC | PTMA INVESTMENT ADVISORS | PRUDENT MAN ADVISORS, LLC
State Registrations and Notice Filings
(6/13/2022)
(6/13/2022)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Oct 2023About the Series 52TO examSRO Registrations
Similar Advisors
VERTEX PARTNERS
EDWARD JONES
THE DALA GROUP, LLC
J.P. MORGAN SECURITIES LLC
CRS (Client Relationship Summary) - RIA
Click below to view Alejandro Alanis's CRS (Customer Relationship Summary).
Similar Advisors
VERTEX PARTNERS
EDWARD JONES
THE DALA GROUP, LLC
J.P. MORGAN SECURITIES LLC