Ingrid B. 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.
Ingrid B. Alexander, who also goes by Ingrid B Alexander, Ingrid Alexander, Ingrid Bar, Ingrid Burger, Ingrid Medina, was a registered financial professional .
Ingrid is a previously registered financial professional and started their career in finance in 2002. Ingrid had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2020 - January 4, 2022
AW SECURITIES
July 2, 2018 - December 1, 2020
SECURITIES AMERICA, INC.
November 29, 2017 - May 10, 2018
LPL FINANCIAL LLC
July 10, 2014 - November 29, 2017
NATIONAL PLANNING CORPORATION
January 16, 2014 - May 13, 2014
AW SECURITIES
October 30, 2013 - December 31, 2013
ALPS DISTRIBUTORS, INC.
March 13, 2002 - March 27, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 13, 2002 - July 25, 2013
OSAIC FA, INC.
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
AW SECURITIES
CRD#: 103747 / SEC#: 801-69038, 8-52250
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLWORTH FINANCIAL GROUP, L.P. | GENERAL PARTNER | |
| BEATON, DANIEL STEWART | FINOP | 4240769 |
| FRIZE, BERNARD JOSEPH JR | CHIEF COMPLIANCE OFFICER - BD | 2366022 |
| GAMBLE, COREY C | CHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO | 4919573 |
| GREENBERG, BARRY YALE | CHIEF LEGAL COUNSEL | 5863733 |
| GRIGSBY, GARY LAWSON | CEO | 3167632 |
| TAYLOR, KRISTIAN LEIGH | VICE PRESIDENT- OPERATIONS | 4163800 |
Red Flags
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