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JA

Jody A. Alexander

Some features on this profile are disabled
CRD#: 2450913
JA

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.

Jody Ann Alexander, who also goes by Jody Ann Alesander, Jody A Alexander, Jody A Plassman, Jody Ann Plassman, was a registered financial professional .

Jody is a previously registered financial professional and started their career in finance in 1996. Jody had worked at 7 firms and has passed the Series 65, Series 66, Series 63, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jody Ann Alesander | Jody A Alexander | Jody A Plassman | Jody Ann Plassman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 23, 2017 - February 9, 2018

FISHER INVESTMENTS

RIA
CRD#: 107342
INDIANAPOLIS, IN
Past

August 1, 2016 - September 12, 2017

1834 INVESTMENT ADVISORS CO.

RIA
CRD#: 105435
Indianapolis, IN
Past

October 29, 2015 - July 15, 2016

SHEAFF BROCK INVESTMENT ADVISORS, LLC

RIA
CRD#: 118739
INDIANAPOLIS, IN
Past

December 18, 2008 - March 15, 2011

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
INDIANAPOLIS, IN
Past

December 9, 2008 - March 15, 2011

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
INDIANAPOLIS, IN
Past

August 21, 2007 - December 3, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
INDIANAPOLIS, IN
Past

August 21, 2007 - December 3, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
INDIANAPOLIS, IN
Past

April 2, 2007 - August 9, 2007

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
INDIANAPOLIS, IN
Past

April 2, 2007 - August 9, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
INDIANAPOLIS, IN
Past

December 13, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
INDIANAPOLIS, IN
Past

June 23, 1997 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
INDIANAPOLIS, IN
Past

May 29, 1996 - September 26, 1996

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FISHER INVESTMENTS
FISHER INVESTMENTS
FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA
Registered Investment Advisory firm - (3/26/1987 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/2/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 8/24/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/26/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 9/6/2000
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/28/1996
General Securities Representative Examination

Current Firm

FISHER INVESTMENTS
FISHER INVESTMENTS
FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA
Registered Investment Advisory firm - (3/26/1987 Approved)
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Contact information

Main Address
6500 International Pkwy Ste 2050, Plano, TX 75093-8222
Mailing Address
Phone number
(800) 851-8845
Established
Firm type
Fiscal year end
# of Employees
4,065

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PRIVATE CLIENT (9/10/2025)
CANADA PRIVATE CLIENT (2/5/2025)
UNITED KINGDOM PRIVATE CLIENT (2/5/2025)
INSTITUTIONAL (2/5/2025)

Regulatory assets under management

Total Number of Accounts360,116
AUM (Assets Under Management)$ 298,729,428,900

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.

Company Information

FISHER INVESTMENTS

FISHER INVESTMENTS

CRD#: 107342

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