AZ
Alexander M. Zurflueh
WELLINGTON FUNDS DISTRIBUTORS
SAN FRANCISCO, CA 94111
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CRD#: 7972692
AZ
Professional summary
Alexander Max Zurflueh is a registered financial professional currently at WELLINGTON FUNDS DISTRIBUTORS INC. located in San Francisco, California.
Alexander is registered as a RR (Registered Representative) and started their career in finance in 2025. Alexander has worked at 1 firm and has passed the Series 63, 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 Alexander Max Zurflueh'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
June 13, 2025 - Present
WELLINGTON FUNDS DISTRIBUTORS INC.
Office #1: Four Embarcadero Center Suite 3120, San Francisco, CA 94111BD
CRD#: 152768
SAN FRANCISCO, CA
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
Alabama(8/22/2025)
RR
Alaska(8/22/2025)
RR
Arizona(8/22/2025)
RR
Arkansas(8/22/2025)
RR
California(7/18/2025)
RR
Colorado(8/22/2025)
RR
Connecticut(8/22/2025)
RR
Delaware(8/22/2025)
RR
District of Columbia(8/22/2025)
RR
Florida(8/22/2025)
RR
Georgia(8/22/2025)
RR
Hawaii(8/22/2025)
RR
Idaho(8/22/2025)
RR
Illinois(8/22/2025)
RR
Indiana(8/22/2025)
RR
Iowa(8/22/2025)
RR
Kansas(8/22/2025)
RR
Kentucky(8/22/2025)
RR
Louisiana(8/22/2025)
RR
Maine(8/22/2025)
RR
Maryland(8/22/2025)
RR
Massachusetts(8/22/2025)
RR
Michigan(8/22/2025)
RR
Minnesota(8/22/2025)
RR
Mississippi(8/22/2025)
RR
Missouri(8/22/2025)
RR
Montana(8/22/2025)
RR
Nebraska(8/22/2025)
RR
Nevada(8/22/2025)
RR
New Hampshire(8/22/2025)
RR
New Jersey(8/22/2025)
RR
New Mexico(8/22/2025)
RR
New York(8/22/2025)
RR
North Carolina(8/22/2025)
RR
North Dakota(8/22/2025)
RR
Ohio(8/25/2025)
RR
Oklahoma(8/22/2025)
RR
Oregon(8/22/2025)
RR
Pennsylvania(8/22/2025)
RR
Rhode Island(8/22/2025)
RR
South Carolina(8/22/2025)
RR
South Dakota(8/22/2025)
RR
Tennessee(8/22/2025)
RR
Texas(8/22/2025)
RR
Utah(8/22/2025)
RR
Vermont(8/22/2025)
RR
Virginia(8/22/2025)
RR
Washington(8/22/2025)
RR
West Virginia(8/22/2025)
RR
Wisconsin(8/22/2025)
RR
Wyoming(8/22/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/12/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WELLINGTON FUNDS DISTRIBUTORS INC.
WELLINGTON FUNDS DISTRIBUTORS INC. | WELLINGTON MANAGEMENT ADVISERS, INC
CRD#: 152768 / SEC#: , 8-68476
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
280 Congress Street, Boston, MA 02210
Mailing Address
280 Congress Street, Boston, MA 02210
Phone number
(617) 951-5000
Established
Delaware since 10/29/2009
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLINGTON MANAGEMENT FUNDS HOLDINGS LLP | HOLDING COMPANY | |
| COYNE, LAURA ANN ESQ. | DIRECTOR | 7053320 |
| GEORGE, JEFFREY BRIAN | DIRECTOR | 8180600 |
| HAVLICEK, DESMOND ANTHONY | DIRECTOR | 2843267 |
| MACKENZIE, BRENDAN MICHAEL | DIRECTOR | 5051963 |
| MARTIN, SARA ANN | CHIEF LEGAL OFFICER | 7469775 |
| MILLEN, SARAH MACKTEZ | CHIEF FINANCIAL OFFICER | 7116565 |
| SHANNON, MARY KEHOE | DIRECTOR | 6439388 |
| SHANNON, MARY KEHOE | PRESIDENT | 6439388 |
| WILLIAMS, ASHLEY LEIGH | CHIEF COMPLIANCE OFFICER | 5498874 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
