David K. Alexander
Professional summary
David Knox Alexander is a registered financial professional currently at CARTY, HARDING & HEARN, INC. located in Little Rock, Arkansas.
David is registered as a RR (Registered Representative) and started their career in finance in 1980. David has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 5, Series 3, Series 7, Series 52, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Knox Alexander's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 14, 2022 - Present
CARTY, HARDING & HEARN, INC.
Office #2: 900 S. Shackleford Rd Suite 100, Little Rock, AR 72211October 29, 1980 - March 14, 2022
CREWS & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 5
Date: 2/6/1990
Interest Rate Options ExaminationFINRA
Current Firm
CARTY, HARDING & HEARN, INC.
CRD#: 7001 / SEC#: , 8-19082
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 19 |
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