Sandra J. 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.
Sandra J Alexander, who also goes by Sandra J Alexander, Sandra Joanne Alexander, Sandra J Haeussler, Sandra Joanne Haeussler, Sandra Joanne Suter, Sandy Suter, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1999. Sandra had worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2025 - March 18, 2026
MODERN WEALTH MANAGEMENT, LLC
November 3, 2023 - January 4, 2024
OSAIC WEALTH, INC.
November 3, 2023 - January 4, 2024
OSAIC WEALTH, INC.
November 18, 2022 - November 3, 2023
FSC SECURITIES CORPORATION
November 18, 2022 - November 3, 2023
FSC SECURITIES CORPORATION
June 21, 2021 - July 11, 2022
LPL FINANCIAL LLC
June 21, 2021 - July 11, 2022
LPL FINANCIAL LLC
September 14, 2020 - July 2, 2021
PRUCO SECURITIES, LLC.
May 7, 2020 - July 2, 2021
PRUCO SECURITIES, LLC.
August 28, 2014 - January 9, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 2014 - January 9, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 13, 2011 - May 6, 2013
EDWARD JONES
June 1, 2011 - May 6, 2013
EDWARD JONES
June 30, 2010 - June 7, 2011
CITIGROUP GLOBAL MARKETS INC.
June 1, 2009 - June 9, 2010
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 31, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
April 18, 2005 - February 8, 2006
WELLS FARGO CLEARING SERVICES, LLC
November 4, 2004 - April 18, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 21, 1999 - September 15, 2004
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
MODERN WEALTH MANAGEMENT, LLC
CRD#: 324624 / SEC#: 801-127231
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
MODERN WEALTH MANAGEMENT, LLC
CRD#: 324624 / SEC#: 801-127231
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 30,617 |
| AUM (Assets Under Management) | $ 10,904,051,242 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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