Alexis V. Schumann
Professional summary
Alexis V Schumann, who also goes by Alexis Veronica Schumann, Alexis V Wherry, is a registered financial advisor currently at CADARET, GRANT & CO., INC. located in Syracuse, New York and NEXT FINANCIAL GROUP, INC. located in Syracuse, New York.
Alexis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Alexis has worked at 23 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2024 - Present
CADARET, GRANT & CO., INC.
Office #1: 100 Madison Street Suite 1300, Syracuse, NY 13202November 4, 2025 - Present
NEXT FINANCIAL GROUP, INC.
Office #1: 100 Madison Street Suite 1230, Syracuse, NY 13202June 17, 2024 - Present
CADARET, GRANT & CO., INC.
Office #1: 100 Madison Street Suite 1300, Syracuse, NY 13202March 3, 2025 - Present
NEXT FINANCIAL GROUP, INC.
Office #1: 11740 Katy Freeway Suite 600, Houston, TX 77079March 3, 2025 - Present
CUSO FINANCIAL SERVICES, L.P.
Office #1: 10150 Meanley Drive 1st Floor, San Diego, CA, 92131March 3, 2025 - October 1, 2025
SCF SECURITIES, INC.
March 3, 2025 - October 1, 2025
GROVE POINT INVESTMENTS, LLC
March 3, 2025 - October 7, 2025
SORRENTO PACIFIC FINANCIAL, LLC
June 20, 2024 - October 9, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
May 27, 2020 - September 16, 2020
INVESTACORP, INC.
May 27, 2020 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
May 27, 2020 - November 23, 2020
SECURITIES SERVICE NETWORK, LLC
May 27, 2020 - June 14, 2024
SECURITIES AMERICA, INC.
May 27, 2020 - June 18, 2024
TRIAD ADVISORS LLC
May 27, 2020 - June 27, 2024
LADENBURG THALMANN & CO. INC.
August 4, 2014 - November 3, 2023
FSC SECURITIES CORPORATION
August 4, 2014 - June 27, 2024
OSAIC WEALTH, INC.
July 30, 2014 - November 3, 2023
FSC SECURITIES CORPORATION
July 30, 2014 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
July 30, 2014 - June 27, 2024
OSAIC WEALTH, INC.
July 30, 2014 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
September 4, 2012 - September 29, 2023
OSAIC SERVICES, INC.
August 14, 2012 - June 27, 2024
OSAIC SERVICES, INC.
April 26, 2012 - August 3, 2012
HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC
August 23, 2011 - August 3, 2012
SECURITIES SERVICE NETWORK, LLC
September 30, 2005 - April 9, 2010
VOYA INVESTMENTS DISTRIBUTOR, LLC
June 2, 2003 - December 31, 2004
SPELMAN & CO., INC.
June 2, 2003 - December 31, 2004
SENTRA SECURITIES CORPORATION
July 5, 2002 - September 16, 2005
SUNAMERICA SECURITIES, INC.
June 4, 2002 - September 16, 2005
SUNAMERICA SECURITIES, INC.
April 16, 2001 - April 22, 2002
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/24/2024)
(11/4/2025)
Exams
FINRA
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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
CADARET, GRANT & CO., INC.
CRD#: 10641Syracuse, NY 13202TRUST BUT VERIFY
Monitor Alexis Schumann
Get automatic monthly alerts on:
