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Alexander James Prince

Finalis Securities LLC

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About Alexander James Prince

Alexander James Prince is a financial advisor with Finalis Securities LLC. Alexander has been in the industry since 2008 and has experience working with a variety of firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Highmark Funds Distributors, LLC, Equinox Group Distributors, LLC, Bailard Fund Services, Inc., and Foreside Fund Services, LLC. Alexander holds the Series 7, 63, 66, and SIE licenses. Alexander is registered in Florida.

Firm Information

Alexander Prince is currently registered with Finalis Securities LLC. Finalis Securities LLC is a Limited Liability Company formed in September 2019. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

337

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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Alexander Prince’s Registration & Firm History

NY

02/07/2024 - Present

Finalis Securities LLC (New York NY)

FL

06/27/2022 - 01/29/2024

FORESIDE FUND SERVICES, LLC (Fort Lauderdale FL)

CA

12/11/2015 - 06/26/2018

BAILARD FUND SERVICES, INC. (FOSTER CITY CA)

NY

02/18/2013 - 11/14/2013

EQUINOX GROUP DISTRIBUTORS, LLC (NEW YORK NY)

CA

01/26/2010 - 01/25/2013

HIGHMARK FUNDS DISTRIBUTORS, LLC (SAN FRANCISCO CA)

CA

11/26/2008 - 01/29/2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 07/12/2022

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 01/24/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/02/2023

SIE - Securities Industry Essentials Examination

BC

Issued 06/25/2022

Series 7TO - General Securities Representative Examination

BC

Issued 11/25/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Alexander James Prince.
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