Alexis V. Schumann
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 V Schumann, who also goes by Alexis Veronica Schumann, Alexis V Wherry, was a registered financial professional .
Alexis is a previously registered financial professional and started their career in finance in 2001. Alexis had 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
November 4, 2025 - December 9, 2025
NEXT FINANCIAL GROUP, INC.
March 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
March 3, 2025 - December 9, 2025
NEXT FINANCIAL GROUP, INC.
March 3, 2025 - December 9, 2025
CUSO FINANCIAL SERVICES, L.P.
June 24, 2024 - December 9, 2025
CADARET, GRANT & CO., INC.
June 20, 2024 - October 9, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
June 17, 2024 - December 9, 2025
CADARET, GRANT & CO., 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.
Visual representation of state registrations
Exams
Current Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
