GUNNALLEN HEAD TRADER ALSO A SOVEREIGN EQUITY MANAGEMENT CORP. GRADUATE
NASD Registered Person: ALEXIS JOSE RIVERA CRD Number: 1656738
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CURRENT EMPLOYMENT
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This section provides all current employments (investment-related and
non-investment related) as reported on the broker's Form U-4. It displays the
name of the employing firm that employs this broker, the firm's CRD number (if
applicable), the location of the office where the broker is employed, and the
broker's start date.
If the broker is currently employed with an investment adviser, the investment
adviser's name and CRD number will display. However, additional information is
not available on investment advisers through the Public Disclosure Program as
they are not NASD registered firms.
If the broker is currently employed with a firm registered with any
self-regulatory organization other than NASD (e.g., the NYSE), either the
firm's name or "Other Business" will display as the Employing Firm. To obtain
the firm's name when "Other Business" displays as the Employing Firm, please
call the Public Disclosure Call Center Hotline number, 1-800-289-9999.
A Firm CRD Number will not display for employing firms that are not NASD
registered firms. Information on these employing firms is not available through
the Public Disclosure Program.
This section also provides the jurisdictions with which the broker is currently
registered or licensed to do business, the category of each registration, and
the date on which the registration approval was granted.
**************** CURRENT EMPLOYMENT (1 of 1) ****************
Employing Firm: GUNNALLEN FINANCIAL, INC
Firm CRD Number: 17609
Office of Employment address: 1715 N. WESTSHORE BLVD. SUITE 775
TAMPA, FL 33607
Start Date: 03/18/1997 End Date: to present
Registrations:
Jurisdiction/SRO Category Status As Of Date
AL Agent Approved 06/18/2001
CA Agent Approved 03/31/1997
CO Agent Approved 06/10/1998
FL Agent Approved 04/18/1997
IL Agent Approved 05/09/1997
MD Agent Approved 06/27/1997
NASD Equity Trader Approved 05/17/2002
NASD General Securities Approved 03/31/1997
Principal
NASD General Securities Approved 03/31/1997
Representative
NJ Agent Approved 04/24/1997
NY Agent Approved 04/24/1997
PR Agent Approved 08/25/1997
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PREVIOUS EMPLOYMENT
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This section provides 10 years of an individual's employment history. If the
individual is currently registered with NASD, employment history will be
displayed for the previous 10 years. If the individual is not currently
registered with NASD, employment history will be displayed for the 10 years
prior to termination of the registration. The firm's CRD number, the office of
employment address where the broker was employed, and the dates of employment
will be displayed.
If the broker was previously employed with an investment adviser, the investment
adviser's name and CRD number will display. However, additional information is
not available on investment advisers through the Public Disclosure Program as
they are not NASD registered firms.
If the broker was previously employed with a firm registered with any
self-regulatory organization other than NASD (e.g., the NYSE), either the
firm's name or "Other Business" will display as the Employing Firm. To obtain
the firm's name when "Other Business" displays as the Employing Firm, please
call the Public Disclosure Call Center Hotline number, 1-800-289-9999.
A Firm CRD Number will not display for employing firms that are not NASD
registered firms. Information on these employing firms is not available through
the Public Disclosure Program.
*************** PREVIOUS EMPLOYMENT (1 of 1) ***************
NASD Public Disclosure Program August 18, 2003 Page 3
This information is current as of: 08/18/2003
________________________________________________________________________________
NASD Registered Person: ALEXIS JOSE RIVERA
CRD Number: 1656738
PREVIOUS EMPLOYMENT(cont.)
Employing Firm: SOVEREIGN EQUITY MANAGEMENT CORP.
Firm CRD Number:
Office of Employment address: BOCA RATON, FL
Start Date: 06/1992 End Date: 03/1997
NO DISCLOSURE INFORMATION
************ END OF REPORT ************ |
