Alisha B. Headley
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.
Alisha Beth Headley, who also goes by Alisha Beth Buhler, Alisha Beth Edmund, Alisha Beth Sperlik, was a registered financial professional .
Alisha is a previously registered financial professional and started their career in finance in 2004. Alisha had worked at 9 firms and has passed the 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
April 25, 2019 - October 29, 2019
ORCHARD SECURITIES, LLC
June 26, 2015 - April 29, 2017
ORCHARD SECURITIES, LLC
March 11, 2014 - April 14, 2015
AXIOM CAPITAL MANAGEMENT, INC.
February 20, 2013 - February 28, 2014
KBS CAPITAL MARKETS GROUP LLC
June 8, 2011 - September 11, 2012
DFPG INVESTMENTS, LLC
January 4, 2011 - April 28, 2011
OMNI BROKERAGE, INC.
May 8, 2009 - October 11, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 1, 2005 - February 17, 2009
CAPITAL CLIENT GROUP, INC.
November 24, 2004 - January 12, 2005
IDS LIFE INSURANCE COMPANY
November 24, 2004 - January 12, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
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
ORCHARD SECURITIES, LLC
CRD#: 133378 / SEC#: , 8-66719
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREEKSIDE LAND DEVELOPMENT, LLC | MEMBER | |
| FAR VISIONS, LLC | MEMBER | |
| NORTH CANYON ENTERPRISES, LLC | MEMBER | |
| TOTTENHAM INVESTMENTS, LLC | MEMBER | |
| TRIPLE CROWN SECURITES, LLC | MEMBER | |
| BADALAMENTI, CHARLES RICHARD | FINOP | 2065038 |
| BRADBURN, KEVIN CHRISTOPHER | MANAGER, CHIEF EXECUTIVE OFFICER | 2718206 |
| GARRETT, TAYLOR WESTON | PRESIDENT | 4829547 |
| HART, ADRIENNE YOST | CHIEF COMPLIANCE OFFICER | 1510179 |
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.
