Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alexander? Claim Your ProfileAlexander Michael Soto is a financial advisor with over 17 years of experience in the industry. Alexander is currently registered with Nuveen Securities, LLC in Charlotte, NC. Previous employers include Teachers Personal Investors Services, Inc., Sterne Agee Financial Services, Inc., LPL Financial LLC and Fifth Third Securities, Inc. Alexander holds the Series 7, 6, 63 and 66 licenses. Alexander is also a SIE exam holder.
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.
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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2
NC
01/03/2017 - Present
Nuveen Securities, LLC (CHARLOTTE NC)
NC
08/04/2016 - 12/31/2016
TEACHERS PERSONAL INVESTORS SERVICES, INC. (CHARLOTTE NC)
NC
06/03/2015 - 02/16/2016
STERNE AGEE FINANCIAL SERVICES, INC. (WInston Salem NC)
OH
05/20/2005 - 06/10/2013
LPL FINANCIAL LLC (HILLIARD OH)
OH
11/15/2002 - 05/26/2005
FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)
BOTH
Issued 02/09/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/14/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2004
Series 7 - General Securities Representative Examination
BC
Issued 11/14/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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