Shana 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.
Shana Louise Alexander, who also goes by Shana Louise Maggard, Shana Louise Primack, Shana Louise Warshaw, Shana Warshaw, Shana Louise Warshaw-primack, Shana Louise Warshawprimack, was a registered financial professional .
Shana is a previously registered financial professional and started their career in finance in 1995. Shana had worked at 9 firms and has passed the Series 63, Series 65, 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
March 20, 2017 - August 31, 2018
BOUSTEAD SECURITIES, LLC
August 8, 2014 - August 19, 2015
SPIRE SECURITIES, LLC
November 22, 2013 - July 31, 2014
RIVERROCK SECURITIES, LLC
November 1, 2011 - September 3, 2013
BNY MELLON SECURITIES CORPORATION
April 23, 2003 - September 12, 2006
PAUL COMSTOCK PARTNERS
November 26, 2001 - April 23, 2003
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - April 23, 2003
WELLS FARGO INVESTMENTS, LLC
February 23, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
May 10, 1995 - March 18, 1997
IDS LIFE INSURANCE COMPANY
May 10, 1995 - March 18, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
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
BOUSTEAD SECURITIES, LLC
CRD#: 141391 / SEC#: , 8-67384
Contact information
FINRA licenses (47 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
