Ana B. Alexander

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CRD#: 4306372

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.

Ana Bender Alexander, who also goes by Ana Alexander, was a registered financial professional .

Ana is a previously registered financial professional and started their career in finance in 2001. Ana had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ana Alexander

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

March 13, 2015 - July 19, 2023

VALLEY FINANCIAL MANAGEMENT, INC.

CRD#: 105387

New York, NY

Past

January 29, 2015 - February 19, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

WHITE PLAINS, NY

Past

October 4, 2013 - August 20, 2014

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW YORK, NY

Past

August 20, 2001 - August 3, 2012

IDB CAPITAL CORP.

CRD#: 106032

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VALLEY FINANCIAL MANAGEMENT, INC.

CRD#: 105387 / SEC#: 801-113685, 8-52993

RIA

Registered Investment Advisory firm - SEC (7/27/2018 Approved)

California

Registered Investment Advisory firm - SEC (9/1/2018 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/27/2018 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Maryland

Registered Investment Advisory firm - SEC (8/10/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (10/2/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Ohio

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/15/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/2001

General Securities Representative Examination

Current Firm

VALLEY FINANCIAL MANAGEMENT, INC.

CRD#: 105387 / SEC#: 801-113685, 8-52993

RIA

Registered Investment Advisory firm - SEC (7/27/2018 Approved)

California

Registered Investment Advisory firm - SEC (9/1/2018 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/27/2018 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Maryland

Registered Investment Advisory firm - SEC (8/10/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (10/2/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Ohio

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

350 Madison Ave. 4th Floor, Compliance Department, New York, NY 10017

Mailing Address

350 Madison Ave. 4th Floor, Compliance Department, New York, NY 10017

Phone number

(212) 407-4362

Established

New York since 08/08/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

102

SEC notice filing (13 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV, PART 2A (WRAP BROCHURE - 2025) (2/7/2025)

VFM ADV PART 2A (2/7/2025)

Direct owners and executive officers

Name	Position	CRD#
VALLEY NATIONAL BANK	DIRECT PARENT OF APPLICANT
CHITTENDEN, KEVIN L.	DIRECTOR	8047906
COLLERAN, JOSEPH ARTHUR III	PRESIDENT / CEO	1010582
GAWLEY, CHRISTOPHER JON	GENERAL COUNSEL	4997190
LAN, TRAVIS	DIRECTOR	5190958
MAYO, JAMIE	CHIEF FINANCIAL OFFICER	3113603
SCHULTZ, MELISSA JOSEPH	CHAIRPERSON	1155034
WILSON, CHRISTOPHER MICHAEL	CHIEF COMPLIANCE OFFICER	5163915

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 55,000

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Ana B. Alexander

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

UBS FINANCIAL SERVICES INC.

IDB CAPITAL CORP.

Primary Firm SEC Registration

VALLEY FINANCIAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/15/2001

SIE

Date: 10/1/2018

Series 7

Date: 8/17/2001

Current Firm

VALLEY FINANCIAL MANAGEMENT, INC.

Contact information

SEC notice filing (13 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

VALLEY FINANCIAL MANAGEMENT, INC.

TRUST BUT VERIFY

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