Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alex? Claim Your ProfileAlex Tanguay is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., where Alex has been employed since July 2008. Alex is also a member of the advisory board for Big Brothers Big Sisters of Massachusetts Bay, a non-profit organization. Alex has been in the financial services industry since October 2002. Alex is licensed to offer securities and investment advice in Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Indiana, Iowa, Kentucky, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Montana, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, Washington, and Wisconsin.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MA
07/11/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
MA
05/07/2003 - 07/24/2008
UBS FINANCIAL SERVICES INC. (BOSTON MA)
NY
01/03/2003 - 05/07/2003
FAHNESTOCK & CO. INC. (NEW YORK NY)
NY
10/09/2002 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
BOTH
Issued 10/31/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/30/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 10/08/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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