Alexandra S. Davi
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 S Davi, who also goes by Alexandra Sasha Davi, Sasha Davi, Alexandra Davi, Sasha Davi, Alexandra Sasha Stary, Sasha Stary, was a registered financial professional .
Alexandra is a previously registered financial professional and started their career in finance in 2002. Alexandra had worked at 7 firms and has passed the Series 66, Series 63, Series 6TO, 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
May 9, 2022 - December 7, 2023
NATIONWIDE INVESTMENT ADVISORS, LLC
January 27, 2022 - December 7, 2023
NATIONWIDE INVESTMENT SERVICES CORPORATION
July 2, 2016 - December 14, 2021
EMPOWER FINANCIAL SERVICES, INC.
December 3, 2014 - March 11, 2016
TRANSAMERICA INVESTORS SECURITIES, LLC
February 17, 2011 - November 14, 2014
EMPOWER FINANCIAL SERVICES, INC.
September 17, 2010 - December 1, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 6, 2006 - February 21, 2008
CALAMOS FINANCIAL SERVICES LLC
February 11, 2002 - February 27, 2006
INVESCO CAPITAL MARKETS, INC.
Primary Firm SEC Registration
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 270,365 |
| AUM (Assets Under Management) | $ 15,686,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 01/26/2024 | ||
| 10/26/2022 |
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.
