Alexander J. Usher-smith
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 Julian Usher-smith, who also goes by Alexander Julian Usher-smith, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2020. Alexander had worked at 1 firm and has passed the Series 63, Series 99TO, Series 79TO, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2020 - March 21, 2023
CONNAUGHT (U.S.) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 7/4/2019
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 6/19/2019
General Securities Representative ExaminationCurrent Firm
CONNAUGHT (U.S.) LLC
CRD#: 300401 / SEC#: , 8-70323
Contact information
FINRA licenses (52 States and Territories)
Documents
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.
