Alexis K. Otto
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.
Alexis Kessler Otto was a registered financial professional .
Alexis is a previously registered financial professional and started their career in finance in 1998. Alexis had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31 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
May 9, 2005 - April 7, 2020
OCM INVESTMENTS, LLC
December 13, 2002 - May 3, 2005
NORTHERN TRUST SECURITIES, INC.
September 30, 2002 - October 29, 2002
FIDELITY BROKERAGE SERVICES LLC
November 2, 1998 - December 6, 2000
CITIGROUP GLOBAL MARKETS INC.
May 4, 1998 - July 2, 1998
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 7/26/2022
General Securities Representative ExaminationCurrent Firm
OCM INVESTMENTS, LLC
CRD#: 128803 / SEC#: , 8-66176
Contact information
FINRA licenses (52 States and Territories)
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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