Alexander B. Waugh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alexander Butler Waugh, who also goes by Al Waugh, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1986. Alexander had worked at 7 firms and has passed the Series 63, Series 7, Series 8, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2008 - July 15, 2014
ELEVATION, LLC
June 14, 2001 - December 14, 2001
BONDBOOK, LLC
October 26, 1993 - March 6, 2001
BANC OF AMERICA SECURITIES LLC
April 23, 1990 - July 1, 1993
LEHMAN SPECIAL SECURITIES INC.
April 23, 1990 - July 1, 1993
LEHMAN GOVERNMENT SECURITIES INC.
April 23, 1990 - July 1, 1993
LEHMAN BROTHERS INC.
May 20, 1986 - March 14, 1990
SALOMON BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 11/18/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ELEVATION, LLC
CRD#: 140341 / SEC#: , 8-67306
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHEEHAN, PATRICK JAMES | MANAGING MEMBER | 2053134 |
| SARAH TRENT HARRIS IRREVOCABLE FAMILY TRUST | PASSIVE INVESTOR | |
| BARTON ASSET MANAGEMENT, LLC | PASSIVE INVESTOR | |
| CARTER III, WARREN SMOOT | PARTNER | 6751824 |
| HARRIS, MATTHEW CARTER | TRUSTEE | 6178227 |
| LUCAS, CLAIRE TOURNE | PASSIVE INVESTOR | |
| LUCAS, HAINES DEMAREST | PASSIVE INVESTOR | |
| LUCAS, JOSIAH CHARLES TRENT | TRUSTEE | 6178218 |
| PEAK6 INVESTMENTS, L.P. | PASSIVE INVESTOR | |
| PETERSON, KELSEY CARL III | REGISTERED OPTIONS PRINCIPAL | 6684459 |
| SHEEHAN, JOHN MICHAEL BYRNE | PARTNER, CEO | 2272269 |
| SILVER, SCOTT MICHAEL | CHIEF COMPLIANCE OFFICER - CCO | 2290261 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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