Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ALEXANDER OPOULOS IV
ALEXANDER OPOULOIS IV, ALEX OPOULOS, ALEXANDER OPOULOS
CRD#: 2565061
IA
Investment Adviser
B
Previous Broker
OBJECTIVITY SQUARED WEALTH MANAGEMENTCRD#: 311052 701 EAST BAY STREET
SUITE 403
CHARLESTON, SC 29403
Registration History
19952000200520102015202020252 FIRMS1995 - 2009 (14 years)2 FIRMS2009 - 2020 (11 years)IAOBJECTIVITY SQUARED WEALTH MAN... (CRD# 311052)2021 - Present (4 years)
Disclosure(s)
View By:
5/25/1999
Customer Dispute
Settled
License(s)

State Registrations

IA
South Carolina 1/4/2021
Current Registration(s)
IA
OBJECTIVITY SQUARED WEALTH MANAGEMENT (CRD#:311052)
701 EAST BAY STREET SUITE 403, CHARLESTON, SC 29403
Registered with this firm since 1/4/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/18/2009 - 12/31/2020 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) CHARLESTON, SC
B
 11/13/2009 - 12/31/2020 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) CHARLESTON, SC
IA
 03/15/1995 - 11/18/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHARLESTON, SC
B
 01/12/1995 - 11/18/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHARLESTON, SC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.