Individual Firm
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FREDRICK L ALEXANDER
FREDERICK LUKE ALEXANDER MR., FREDRICK ALEXANDER, LUKE ALEXANDER
CRD#: 5639065
IA
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LPL FINANCIAL LLCCRD#: 6413 9060 ANDERMATT DR STE 101
LINCOLN, NE 68526
LINCOLN, NE 68526
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5/22/2012
Employment Separation After Allegations
State Registrations
B
Alabama 5/6/2021
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Nebraska 4/3/2020
B
Arizona 5/1/2020
B
Nevada 1/26/2024
B
Arkansas 4/14/2020
B
New Hampshire 4/15/2020
B
California 4/1/2020
B
North Carolina 4/6/2020
B
Colorado 4/14/2020
B
Ohio 4/1/2020
B
Florida 4/2/2020
B
Oklahoma 4/14/2020
B
Illinois 4/10/2020
B
South Dakota 3/3/2021
B
Iowa 4/2/2020
B
Tennessee 4/20/2020
B
Kansas 4/1/2020
B
Texas 4/1/2020
B
Maine 5/6/2020
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Texas 4/2/2020
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Missouri 4/2/2020
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Washington 4/14/2020
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Nebraska 4/1/2020
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 4/2/2020
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Registered with this firm since 4/1/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/07/2012 - 04/02/2020 | LINCOLN, NE | |
B | 10/25/2012 - 04/02/2020 | LINCOLN, NE | |
IA | 04/09/2009 - 06/05/2012 | LINCOLN, NE | |
B | 03/20/2009 - 06/05/2012 | LINCOLN, NE |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.