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Alex Young Faulken

THE Leaders Group, Inc.

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About Alex Young Faulken

Alex Faulken is a financial professional with experience in the industry since 2008. Alex is currently registered with The Leaders Group, Inc. in Minnesota. Alex holds the Series 6, Series 63 and SIE licenses. Previous employers include RBC Capital Markets, LLC, FSC Securities Corporation, Royal Alliance Associates, Inc., SagePoint Financial, Inc., Woodbury Financial Services, Inc. and Prudential Annuities Distributors, Inc.

Firm Information

Alex Faulken is currently registered with THE Leaders Group, Inc.. THE Leaders Group, Inc. is a Corporation registered in 52 states and the District of Columbia, with an approved SEC registration. Formed on July 14, 1994, the firm has a history of providing financial services.

Not reported

Assets Under Management

Not reported

Total Clients

854

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Alex Faulken’s Registration & Firm History

CO

02/20/2024 - Present

THE Leaders Group, Inc. (LITTLETON CO)

MN

02/27/2023 - 11/29/2023

RBC CAPITAL MARKETS, LLC (MINNEAPOLIS MN)

GA

02/10/2020 - 02/13/2023

FSC SECURITIES CORPORATION (ATLANTA GA)

AZ

02/10/2020 - 02/13/2023

ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)

AZ

02/10/2020 - 02/13/2023

SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)

MN

02/03/2020 - 02/13/2023

WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)

CT

05/14/2019 - 02/11/2020

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC (SHELTON CT)

MN

12/08/2014 - 05/02/2019

WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)

MN

03/12/2007 - 06/06/2013

ALLIANZ LIFE FINANCIAL SERVICES, LLC (GOLDEN VALLEY MN)

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Licenses & Designations

BC

Issued 03/23/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/10/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Alex Young Faulken.
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