Alexander P. Golden

ROUND TABLE FINANCIAL

LITTLE ROCK, AR 72205

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CRD#: 7212856

Professional summary

Alexander Peyton Golden IV is a registered financial advisor currently at ROUND TABLE FINANCIAL located in Little Rock, Arkansas.

Alexander is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Alexander has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) Licensed Insurance Agent; Investment Related; Little Rock, AR; Insurance Sales and Services; Since 01/2018; Less than 8 hours per month during trading hours 2) Licensed Real Estate Agent; Investment Related; Little Rock, AR; Real Estate Agent; Since 02/2018; Less than 8 hours per month during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander Peyton Golden IV'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®

None

Experience

Current

January 28, 2020 - Present

ROUND TABLE FINANCIAL

Office #1: 3625 Kavanaugh Blvd. Suite A, Little Rock, AR 72205

RIA

CRD#: 307113

LITTLE ROCK, AR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arkansas
(1/28/2020)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/3/2019

Uniform Investment Adviser Law Examination

Current Firm

ROUND TABLE FINANCIAL

ROUND TABLE FINANCIAL | ROUND TABLE SERVICES, LLC

CRD#: 307113 / SEC#: 801-118001

RIA

Registered Investment Advisory firm - (6/29/2020 Terminated)

Arkansas

Registered Investment Advisory firm - (6/24/2020 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3625 Kavanaugh Blvd. Suite A, Little Rock, AR 72205

Mailing Address

Phone number

(501) 500-0105

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	74
AUM (Assets Under Management)	$ 42,625,950

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.

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Alexander P. Golden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander Peyton Golden IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROUND TABLE FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 7/3/2019

Current Firm

ROUND TABLE FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROUND TABLE FINANCIAL

TRUST BUT VERIFY

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