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AB

Alexander J. Berney

SHIELDS & COMPANY
Waltham, MA 02453
Some features on this profile are disabled
CRD#: 7797300
AB

Professional summary

Alexander J. Berney is a registered financial professional currently at SHIELDS & COMPANY, INC. located in Waltham, Massachusetts.

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 Series 63, Series 79TO and SIE 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 J. Berney'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

December 14, 2023 - Present

SHIELDS & COMPANY, INC.

Office #1: 800 South Street Suite 310, Waltham, MA 02453Office #2: 800 South Street Suite 310, Waltham, MA 02453
BD
CRD#: 30000
Waltham, 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
(2/12/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/31/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/14/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/21/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

S&
SHIELDS & COMPANY, INC.
SHIELDS & COMPANY, INC. | THOMAS J. SHIELDS & COMPANY, INC. | SHIELDS SECURITIES, INC.

CRD#: 30000 / SEC#: , 8-44663

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

Main Address
800 South Street Suite 310, Waltham, MA 02453
Mailing Address
800 South Street Suite 310, Waltham, MA 02453
Phone number
(781) 890-7033
Established
Massachusetts since 04/19/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
NICHOLAS, CHRISTOPHER PAULCO-CEO, CE PRINCIPAL5260410
RICKER, EVAN BENEDICTCO-CEO, CCO, FINOP, PFO, POO, AMLCO6054388

Disclosures

Regulatory Event1

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

SHIELDS & COMPANY, INC.

CRD#: 30000Waltham, MA 02453

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