David L. Alexa
Professional summary
David Lee Alexa was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, David had worked at 5 firms, which includes CANTELLA & CO. INC., M.S.U. INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, E. F. HUTTON & COMPANY INC, PRESCOTT BALL & TURBEN INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 1995 - May 19, 2003
CANTELLA & CO., INC.
January 19, 1989 - May 26, 1995
M.S.U., INC.
October 2, 1985 - January 21, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 1982 - October 14, 1985
E. F. HUTTON & COMPANY INC
February 23, 1981 - June 20, 1982
PRESCOTT, BALL & TURBEN, 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
Exams
Current Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
