Alexander S. Hoes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alexander Spotswood Hoes, who also goes by Alexander Spotwood Hoes, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1981. Alexander had worked at 11 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2010 - May 2, 2014
CHATSWORTH SECURITIES LLC
February 15, 2006 - April 17, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 2, 2005 - April 17, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 1991 - May 9, 1997
KEANE SECURITIES CO., INC.
August 1, 1991 - August 14, 1991
KC MAY SECURITIES CORP.
November 27, 1990 - August 7, 1991
JESUP & LAMONT SECURITIES CO., INC.
April 24, 1990 - November 28, 1990
SECURITIES SETTLEMENT CORPORATION
September 14, 1988 - January 15, 1990
JJC SECURITIES CO., INC.
December 14, 1987 - August 10, 1988
LABRANCHE FINANCIAL SERVICES, LLC
October 14, 1987 - December 22, 1987
SLS SECURITIES COMPANY
May 29, 1985 - September 8, 1987
HAAS SECURITIES CORPORATION
March 23, 1981 - January 30, 1982
MABON, NUGENT & CO.
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
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory Event | 1 |
Red Flags
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