AU
Alex Urdea
BA SECURITIES
NEW YORK, NY 10178
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CRD#: 7126967
AU
Professional summary
Alex Urdea is a registered financial professional currently at BA SECURITIES, LLC 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 1 firm and has passed the Series 63, Series 82TO 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 Urdea'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
May 12, 2023 - Present
BA SECURITIES, LLC
Office #1: 101 Park Avenue 11th Floor, New York, NY, 10178BD
CRD#: 153489
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
New York(5/12/2023)
RR
Pennsylvania(5/12/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 5/12/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BS
BA SECURITIES, LLC
BA SECURITIES, LLC | BLACKWOLF ADVISORS, LLC | BLACKWOLF ADVISORS
CRD#: 153489 / SEC#: , 8-68545
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428
Mailing Address
Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428
Phone number
(877) 738-5841
Established
Pennsylvania since 01/25/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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