AR
Alex Rick
TRADE-PMR
Clearwater, FL 33762
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CRD#: 7472704
AR
Professional summary
Alex Rick is a registered financial professional currently at TRADE-PMR INC. located in Clearwater, Florida.
Alex is registered as a RR (Registered Representative) and started their career in finance in 2024. Alex has worked at 1 firm and has passed the Series 7TO and SIE exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Alex Rick'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®
NoneExperience
Current
April 25, 2024 - Present
TRADE-PMR INC.
Office #1: 13945 Evergreen Avenue, Clearwater, FL 33762BD
CRD#: 46350
Clearwater, 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(4/25/2024)
Exams
General Industry/Product Exam
RR
Series 7TO
Date: 2/6/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TRADE-PMR INC.
TRADE-PMR INC.
CRD#: 46350 / SEC#: , 8-51390
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
13945 Evergreen Avenue, Clearwater, FL 33762
Mailing Address
P.o. Box 358230, Gainesville, FL 32635-8230
Phone number
(352) 332-8723
Established
Florida since 10/30/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GATOR MERGER SUB II, LLC | SHAREHOLDER | |
| BALDWIN, ROBB WALLER | PRESIDENT & CHIEF EXECUTIVE OFFICER | 1409477 |
| DILBONE, ROBERT POTTER JR | CHIEF REVENUE OFFICER | 5893751 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 3103432 |
| LEGACY, ELIZABETH | CHIEF COMPLIANCE OFFICER | 4368139 |
| QUIRK, STEVEN MARK | DIRECTOR | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | DIRECTOR | 7339479 |
| VICTORIA, RICHARD SCOTT | CHIEF OPERATING OFFICER | 5371275 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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Company Information
TRADE-PMR INC.
CRD#: 46350Clearwater, FL 33762TRUST BUT VERIFY
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