Alexandra T. Neville
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.
Alexandra Teece Littlejohn Neville, who also goes by Alex Teece Littlejohn, Alex Littlejohn, Alexandra T Littlejohn, Alexandra Teece Littlejohn, Alex Teece Littlejohn Neville, Alex Neville, Alexandra Teece Littlejohn Neville, Alexandra Neville, Alex Teece Seifert, Alexandra Littlejohn Seifert, Alexandra Teece Littlejohn Seifert, Alexandra Seifert, was a registered financial professional .
Alexandra is a previously registered financial professional and started their career in finance in 1995. Alexandra had worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2015 - April 8, 2021
IMST DISTRIBUTORS, LLC
July 6, 2006 - February 19, 2015
JANUS HENDERSON DISTRIBUTORS US LLC
December 5, 1995 - December 4, 2001
CHARLES SCHWAB & CO., 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
Current Firm
IMST DISTRIBUTORS, LLC
CRD#: 130745 / SEC#: , 8-66389
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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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