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AJ

Alexandra G. Johni

CONNAUGHT (U.S.) LLC
New York, NY 10003
Some features on this profile are disabled
CRD#: 7582101
AJ

Professional summary

Alexandra Grace Johni, who also goes by Alexandra Johni, is a registered financial professional currently at CONNAUGHT (U.S.) LLC located in New York, New York.

Alexandra is registered as a RR (Registered Representative) and started their career in finance in 2022. Alexandra has worked at 2 firms and has passed the Series 63, Series 7TO, Series 86, Series 87 and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alexandra Johni

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 Alexandra Grace Johni'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

November 20, 2023 - Present

CONNAUGHT (U.S.) LLC

Office #1: 38 East 19th Street 8th Floor, New York, NY 10003
BD
CRD#: 300401
New York, NY
Past

October 21, 2022 - November 21, 2023

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY

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
New York
(11/20/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/4/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/8/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 86
Date: 10/21/2022
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 9/20/2022
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
SIE
Date: 7/8/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

C(
CONNAUGHT (U.S.) LLC
CONNAUGHT (U.S.) LLC

CRD#: 300401 / SEC#: , 8-70323

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

Main Address
2 Soho Place, London, W1D 3BG
Mailing Address
2 Soho Place, London, W1D 3BG
Phone number
+44 20 7042 8097
Established
Delaware since 03/10/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CONNAUGHT INTERNATIONAL LIMITEDMEMBER
CHUNG, MICHAELFINOP/POO/PFO5739877
HENRY, RAHIMA AKHTERCO-CEO5769017
HUELIN, JAMES RICHARDCO-CEO7391107
KRUKOWSKI, JULIAN THEODORECHIEF COMPLIANCE OFFICER3070439

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

CONNAUGHT (U.S.) LLC

CRD#: 300401New York, NY 10003

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