Jack H. Alexander
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.
Jack Harrison Alexander JR was a registered financial advisor .
Jack is a previously registered financial advisor and started their career in finance in 1980. Jack had worked at 4 firms and has passed the Series 65, Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2013 - December 31, 2013
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
January 30, 2012 - December 31, 2012
CIC ADVISERS, LLC
July 1, 2003 - July 11, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - July 11, 2005
WELLS FARGO CLEARING SERVICES, LLC
August 23, 1983 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 22, 1980 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124 / SEC#: 801-69846
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 5
Date: 4/23/1982
Interest Rate Options ExaminationCurrent Firm
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124 / SEC#: 801-69846
Contact information
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 8,619 |
| AUM (Assets Under Management) | $ 1,930,938,262 |
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.
