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Alexander C. Duca

BOWEN
Boston, MA 02210
Some features on this profile are disabled
CRD#: 7595775
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Professional summary

Alexander Cole Duca, who also goes by Alexander Duca, is a registered financial professional currently at BOWEN, INC. located in Boston, Massachusetts.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2022. Alexander has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alexander Duca

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 Cole Duca'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 14, 2023 - Present

BOWEN, INC.

Office #1: 22 Boston Wharf Road 7th Floor, Boston, MA 02210
BD
CRD#: 142930
Boston, MA
Past

August 1, 2022 - August 15, 2023

CANACCORD GENUITY LLC

BD
CRD#: 1020
BOSTON, MA

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
Massachusetts
(11/14/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/28/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/1/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/28/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

BI
BOWEN, INC.
BOWEN ADVISORS, INC. | BOWEN, INC.

CRD#: 142930 / SEC#: , 8-67510

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

Main Address
34 Main Street Extension Suite 203, Plymouth, MA 02360
Mailing Address
34 Main Street Extension Suite 203, Plymouth, MA 02360
Phone number
(617) 245-1666
Established
Delaware since 01/02/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BOWEN, PAUL IVAN IIIPRESIDENT/TREASURER/FINOP/CCO

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

BOWEN, INC.

CRD#: 142930Boston, MA 02210

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