Alexander R. Mount
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alexander Robert Mount, who also goes by Alexander R Mount, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1979. Alexander had worked at 6 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 7, Series 3 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2010 - May 20, 2015
STONEHAVEN, LLC
October 11, 2000 - November 9, 2005
LYSTER WATSON SECURITIES, INC.
January 12, 1987 - September 23, 1987
ROCHDALE SECURITIES LLC
September 18, 1984 - January 29, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 21, 1979 - December 4, 1986
MONY SECURITIES CORPORATION
May 21, 1979 - December 5, 1986
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 5/15/1979
Registered Representative ExaminationCurrent Firm
STONEHAVEN, LLC
CRD#: 118913 / SEC#: , 8-53699
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
