Tanga L. Alexander
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.
Tanga Lee Alexander, who also goes by Tanja Lee Alexander, Tanga Lee Alexander, Tanga Lee Alexander-gottesman, Tanga Lee Alexandercraven, was a registered financial professional .
Tanga is a previously registered financial professional and started their career in finance in 1985. Tanga had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 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 19, 2014 - March 5, 2019
UMB FINANCIAL SERVICES, INC.
December 19, 2014 - March 5, 2019
UMB FINANCIAL SERVICES, INC.
January 3, 2011 - January 11, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - January 11, 2013
WELLS FARGO CLEARING SERVICES, LLC
December 14, 2000 - August 20, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
June 6, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 1, 1999 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
December 16, 1998 - June 1, 2000
LPL FINANCIAL LLC
September 16, 1994 - December 1, 1998
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 24, 1994 - August 30, 1994
IFMG SECURITIES, INC.
September 24, 1992 - April 4, 1995
AMERICAN GENERAL EQUITY SERVICES CORPORATION
August 9, 1991 - January 12, 1994
OSAIC WEALTH, INC.
January 19, 1990 - July 27, 1990
H. T. FLETCHER SECURITIES INCORPORATED
September 15, 1988 - November 20, 1989
ALLIED CAPITAL GROUP, INC.
December 15, 1987 - September 30, 1988
POWER SECURITIES CORPORATION
November 20, 1985 - December 23, 1987
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
UMB FINANCIAL SERVICES, INC.
CRD#: 17073 / SEC#: 801-62967, 8-34999
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
Current Firm
UMB FINANCIAL SERVICES, INC.
CRD#: 17073 / SEC#: 801-62967, 8-34999
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UMB FINANCIAL CORP | STOCKHOLDER | |
| GATES, ANGELA GAYE | FINOP / PRESIDENT / DIRECTOR / PFO / POO / TREASURER | 2626070 |
| KLEVORN, PHILLIP MICHAEL | DIRECTOR | 4852039 |
| LONG, CHRISTOPHER SHELDON | CHIEF COMPLIANCE OFFICER | 6076540 |
| MASON, PHILLIP JAMES | DIRECTOR | 6246519 |
| MASSEY, THOMAS HAROLD | DIRECTOR | 2062653 |
| MAXWELL, JEFFREY THOMAS | CAO, SVP | 2626068 |
| SKILLING, BENJAMIN JOSEPH | DIRECTOR | 4686294 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 3,070,243 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
