Unclaimed
Alexander Vincent Friend is a financial advisor registered with RBC Capital Markets, LLC. Alexander Vincent Friend has been in the industry since 2023. Alexander Vincent Friend holds the following licenses: Series 6, Series 7, Series 22, Series 66, Series 82, Series 99, SIE, and is registered in 27 states. Prior to joining RBC Capital Markets, LLC, Alexander Vincent Friend was registered with TAILWIND CAPITAL DISTRIBUTORS, LLC. Alexander Vincent Friend is located in RALEIGH, NC and works in the Financial Services industry.
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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
NC
05/30/2023 - Present
RBC Capital Markets, LLC (RALEIGH NC)
NC
08/29/2022 - 09/06/2022
TAILWIND CAPITAL DISTRIBUTORS, LLC (RALEIGH NC)
BOTH
Issued 05/02/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/13/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/13/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/13/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/13/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 08/29/2022
Series 7TO - General Securities Representative Examination
BC
Issued 07/01/2022
SIE - Securities Industry Essentials 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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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