Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alice? Claim Your ProfileAlice Klosova has been in the securities industry since 1996 and is currently registered with Barclays Capital Inc. in New York, New York. Previously, Alice Klosova has held positions at RBC CAPITAL MARKETS CORPORATION, RBC DAIN RAUSCHER INC., ROBERTSON STEPHENS, INC., MAM SECURITIES, LLC, and WELLS FARGO SECURITIES INC. Alice Klosova has passed the Series 6, 7, 16, 24, 63, 87 and SIE exams. Alice Klosova is also a registered principal in New York and California.
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
NY
02/01/2010 - Present
Barclays Capital Inc. (NEW YORK NY)
CA
02/29/2008 - 01/23/2009
RBC CAPITAL MARKETS CORPORATION (SAN FRANCISCO CA)
CA
02/06/2004 - 02/29/2008
RBC CAPITAL MARKETS CORPORATION (SAN FRANCISCO CA)
NY
10/01/2002 - 02/06/2004
RBC DAIN RAUSCHER INC. (NEW YORK NY)
CA
09/02/1998 - 08/27/2002
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
CA
04/23/1998 - 07/08/1998
MAM SECURITIES, LLC (SAN FRANCISCO CA)
CA
01/03/1995 - 04/30/1998
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
BC
Issued 12/23/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/17/2013
Series 4 - Registered Options Principal Examination
BC
Issued 08/10/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/02/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 10/22/1998
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 10/20/1995
Series 7 - General Securities Representative Examination
BC
Issued 12/23/1994
Series 6 - Investment Company Products/Variable Contracts 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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