Alexis L. O Hagan
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 Leanne O Hagan, who also goes by Alexis Leanne O'hagan, Alexis O'hagan, Alexis L Ohagan, Alexis Leanne Ohagan, Alexis Leanne Priego ^, Alexis Leanne Priego, Alexis Leanne Struzik ^, Alexis Leanne Struzik, was a registered financial professional .
Alexis is a previously registered financial professional and started their career in finance in 2008. Alexis had worked at 4 firms and has passed the Series 66, Series 63, 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
December 4, 2012 - May 18, 2015
TD AMERITRADE, INC.
December 4, 2012 - May 18, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 4, 2012 - May 18, 2015
TD AMERITRADE, INC.
September 7, 2011 - December 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 7, 2011 - December 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 3, 2010 - August 25, 2011
CHARLES SCHWAB & CO., INC.
May 7, 2008 - August 25, 2011
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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