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Current Employers
Efg Private Wealth Management (Americas) Corp.

701 Brickell Avenue Suite 1310, Miami, FL 33131 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2019-12-04
CA RA APPROVED 2019-11-12
  • FL RA
    APPROVED
    Since 2019-12-04
  • CA RA
    APPROVED
    Since 2019-11-12

Branch Locations

701 Brickell Avenue Suite 1310, Miami, FL 33131 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Efg Capital International Miami FL 03/1998 Present
Efg Capital Advisors Inc Miami FL 03/2016 Present
  • 03/1998 → Present
    Efg Capital International
    Miami, FL
  • 03/2016 → Present
    Efg Capital Advisors Inc
    Miami, FL
Previous Registrations
  • 2016-07-11 → 2019-02-22
    Efg Capital Advisors Inc.
    Miami, FL
  • 2012-05-25 → 2014-11-06
    Efg Capital Advisors Llc
    Miami, FL
Other Businesses

1. AirBNB listed residential property (one unit) receiving rental incomes. Limited responsibilities as the AirBNB listing is managed by a third party. 2. Alternate Member of the Planning Commission, Borough of Forest Hills, Pittsburg, PA. Start date: March 1, 2022. Responsibilities include advising the Borough Council on planning issues and attendance at monthly meetings. No compensation is received and two hours per month is devoted to this activity during non-trading hours. 3. McSH, LLC- Director. Providing guidance and advice in rental real estate in Pittsburg, PA., summarizing financial results. Activities performed during non-trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-12-13
S63 Uniform Securities Agent State Law Examination 1998-04-14
  • S66 Uniform Combined State Law Examination
    2011-12-13
  • S63 Uniform Securities Agent State Law Examination
    1998-04-14
Other Names
  • Al Caldwell
  • J Alexander Caldwell

View on SEC IAPD

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