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AP

Alexander Phillips

NUORION CAPITAL
Miami, FL 33131
Some features on this profile are disabled
CRD#: 7394728
AP

Professional summary

Alexander Phillips is a registered financial professional currently at NUORION CAPITAL located in Miami, Florida.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2023. Alexander has worked at 1 firm and has passed the SIE and Series 79TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alexander Phillips'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

April 7, 2023 - Present

NUORION CAPITAL

Office #1: 495 Brickell Ave Suite 2101, Miami, FL 33131
BD
CRD#: 315811
Miami, FL

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(4/7/2023)

Exams

General Industry/Product Exam
RR
SIE
Date: 4/7/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/13/2023
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NUORION CAPITAL
NUORION CAPITAL | NUORION PARTNERS | NUORION CAPITAL, LLC

CRD#: 315811 / SEC#: , 8-70770

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
495 Brickell Ave Suite 2101, Miami, FL 33131
Mailing Address
495 Brickell Ave Suite 2101, Miami, FL 33131
Phone number
(917) 859-7268
Established
Delaware since 07/07/2021
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NUORION PARTNERS, LLCUNIT HOLDER
KATZ, MARIEFINOP2457660
PHILLIPS, GUY EDWARDJOHNCHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER2055846

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.

Company Information

NUORION CAPITAL

CRD#: 315811Miami, FL 33131

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