Alex Shtaynberger has been Chief Compliance Officer of Laidlaw Wealth Management since May 2025, is a control person of the firm and directly owns under 5% of it.
Laidlaw Wealth Management LLC is a New York, NY firm with $108M under management, 123 clients and 5 advisers across 4 offices, as of its April 2026 filing.
- – present · 16 yearsNew York, NY · Adviser representative · Firm CRD 150040
Investment adviser representative registrations
Alex Shtaynberger is registered as an investment adviser representative in 2 states. The first approvals date from April 2010; the most recent is New York, in March 2021.
- New JerseySince 19 April 2010
- New YorkSince 23 March 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 14 | Compliance Officer Examination | 1 August 2024 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 2 January 2023 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 24 March 2010 |
| Series 53 | Municipal Securities Principal Examination | 1 June 2005 |
| Series 4 | Registered Options Principal Examination | 10 March 2003 |
| Series 24 | General Securities Principal Examination | 25 April 2002 |
| Series 55 | Limited Representative-Equity Trader Exam | 6 June 2001 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 28 November 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 29 January 1992 |
| Series 7 | General Securities Representative Examination | 24 December 1991 |
- Name
- Municipal Securities Representative Examination
- Name
- Compliance Officer Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Operations Professional Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 2077298
- Firm
- Laidlaw Wealth Management · CRD 150040
- Role
- Chief Compliance Officer
- Office
- 521 FIFTH AVE, 12TH FLOOR, New York, NY 10175
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 1992
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Alex Shtaynberger work?
Alex Shtaynberger has been Chief Compliance Officer of Laidlaw Wealth Management LLC since May 2025, and is a control person of the firm.
Is Alex Shtaynberger a financial advisor?
Yes. Alex Shtaynberger has a current investment-adviser registration in New Jersey and New York, through Laidlaw Wealth Management since April 2010.
How many years of experience does Alex Shtaynberger have?
Alex Shtaynberger has 34 years in the financial industry, since August 1992, across 1 adviser firm.
What exams has Alex Shtaynberger passed?
Alex Shtaynberger has passed 14 licensing exams: the Series 7, Series 63, Series 8, Series 55, Series 24, Series 4, Series 53, Series 65, Series 10, Series 9, Series 99TO, Series 79TO, Series 14 and Series 52TO. The earliest, the Series 7, was passed in December 1991. FINRA credited Alex Shtaynberger with the SIE, which began in October 2018.
Where is Alex Shtaynberger based?
Alex Shtaynberger’s registered office is in New York, NY.
Is Alex Shtaynberger registered with FINRA?
Yes. Alex Shtaynberger has a current broker registration, under CRD 2077298.
Source: FINRA BrokerCheck
How can I verify Alex Shtaynberger’s record?
Search CRD 2077298 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Alex Shtaynberger’s full registration record.
