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Alexander McDowell Garfield
ALEXANDER M GARFIELD, Alex Garfield
CRD#: 6606259
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 Wakefield, MA
Registration History
201620172018201920202021202220232024202520262 FIRMS2018 - 2020 (1 year)2 FIRMS2022 - Present (2 years)IANOVEM GROUP (CRD# 158964)2016 - 2018 (2 years)
License(s)

State Registrations

IA
California 6/30/2022

B
Massachusetts 8/8/2022

B
California 8/8/2022

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
Wakefield, MA
Registered with this firm since 8/8/2022

IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
Wakefield, MA
Registered with this firm since 6/30/2022

Previous Registration(s)
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IA
10/23/2018 - 07/31/2020 TD AMERITRADE, INC. (CRD#:7870) Boston, MA
B
08/29/2018 - 07/31/2020 TD AMERITRADE, INC. (CRD#:7870) OMAHA, NE
IA
04/14/2016 - 07/27/2018 NOVEM GROUP (CRD#:158964) ROCHESTER, NY
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B
Broker
IA
Investment Adviser
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.