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Alix Jean Cethoute Ii

BANCROFT CAPITAL
Irving, TX
·CRD# 7256996·6 years experience

Professional Summary

Alix Jean Cethoute II, who also goes by Alix Jean Cethoute II, Alix Cethoute, is a registered financial advisor currently at BANCROFT CAPITAL, LLC located in Irving, Texas. Alix is registered as a RR (Registered Representative) and started their career in finance in 2021. Alix has worked at 2 firms and has passed the Series 63, Series 52TO, Series 7TO, SIE, Series 9 and Series 10 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Alix Jean Cethoute Ii, Alix Cethoute

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

6 years in the financial services industry

Current & Past Employments

BANCROFT CAPITAL, LLC·CRD# 290665
RIA
BD
5000 Riverside Drive Building 6, Suite 100e, Irving, TX 75039
May 20, 2025 - Present
FIDELITY BROKERAGE SERVICES LLC·CRD# 7784
BD
Westlake, TX
August 3, 2021 - April 29, 2025

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Current Firm

BC
BANCROFT CAPITAL, LLC

BANCROFT CAPITAL, LLC

CRD#: 290665 / SEC#: 8-70035
Pennsylvania
Registered Investment Advisory firm - SEC (4/13/2018 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Contact Information

Main Address

501 Office Center Drive Suite 130, Fort Washington, PA 19034

Mailing Address

501 Office Center Drive Suite 130, Fort Washington, PA 19034

Phone Number

(484) 686-0346

Established

Pennsylvania since 07/04/2017

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

# of Employees

4

FINRA licenses (35 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
QUINN, CAULDON DEANCEO4530968
BANCROFT HOLDINGS, LLCHOLDING CO.—
LINDH, COLLEEN MARNIECCO/FINOP1912150

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Pennsylvania
(5/20/2025)
RR
Texas
(5/20/2025)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2021About the Series 63 exam

Series 52TO — Municipal Securities Representative Examination

Passed Aug 2026About the Series 52TO exam

Series 7TO — General Securities Representative Examination

Passed Aug 2021About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Jul 2020About the SIE exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Nov 2022About the Series 9 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Oct 2022About the Series 10 exam
FINRA
SRO Registrations
NYSE American LLC
SRO Registrations
Nasdaq Stock Market
SRO Registrations
New York Stock Exchange
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Alix Jean Cethoute II's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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