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Alexandra Q. Webster

Some features on this profile are disabled
CRD#: 4247738
AW

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.

Alexandra Quyen Webster, who also goes by Alexandra Quyen Tran, was a registered financial professional .

Alexandra is a previously registered financial professional and started their career in finance in 2002. Alexandra had worked at 6 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alexandra Quyen Tran

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 5, 2010 - May 30, 2013

MIDAMERICA FINANCIAL SERVICES, INC.

BD
CRD#: 47351
JOPLIN, MO
Past

October 5, 2009 - April 15, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
ROSEVILLE, CA
Past

October 5, 2009 - April 15, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
ROSEVILLE, CA
Past

October 3, 2008 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA
CRD#: 5979
ROSEVILLE, CA
Past

October 1, 2008 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
ROSEVILLE, CA
Past

April 2, 2007 - July 24, 2007

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
SACRAMENTO, CA
Past

April 2, 2007 - July 24, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
SACRAMENTO, CA
Past

November 22, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SACRAMENTO, CA
Past

November 22, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
SACRAMENTO, CA
Past

February 8, 2005 - November 4, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SACRAMENTO, CA
Past

February 8, 2005 - November 4, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 18, 2004 - January 3, 2005

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SACRAMENTO, CA
Past

October 17, 2002 - January 3, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/16/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 2/18/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/16/2002
General Securities Representative Examination

Current Firm

MF
MIDAMERICA FINANCIAL SERVICES, INC.
MIDAMERICA FINANCIAL SERVICES, INC. | STEELE INVESTMENT SERVICES, INC.

CRD#: 47351 / SEC#: , 8-51758

BD
Terminated by SEC on 01/05/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 04/05/1999
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
S & M, LTD.SHAREHOLDER
DEEMER, BRUCE HARLANSECRETARY4590562
KELLER, MATTHEW BRIANPRESIDENT, CHIEF COMPLIANCE OFFICER5582015

Disclosures

Regulatory Event5

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

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

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