Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alex? Claim Your ProfileAlex Daum is a financial advisor with over 10 years of experience in the financial services industry. Alex has held positions at Sanford C. Bernstein & Co., LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated before joining J.P. Morgan Securities LLC in 2019. Alex is a registered representative and holds multiple industry licenses including Series 7, Series 63, Series 66 and Series 24. Alex has a broad range of experience in providing financial advice to individuals, businesses, and institutions. Alex's expertise includes portfolio management, financial planning, and investment advisory services. Alex specializes in investment advisory services, financial planning, portfolio management for individuals, portfolio management for businesses, and selection of other advisors.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
02/20/2019 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
03/28/2014 - 04/28/2015
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NY
11/30/2011 - 03/15/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 02/19/2019
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 05/02/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/09/2022
Series 24 - General Securities Principal Examination
BC
Issued 03/12/2019
Series 7TO - General Securities Representative Examination
BC
Issued 04/28/2015
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/2014
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/29/2011
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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