Alexis X. Wiedeman
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.
Alexis Xantippa Wiedeman, who also goes by Alexis Xantippa Torchio, was a registered financial professional .
Alexis is a previously registered financial professional and started their career in finance in 2013. Alexis had worked at 6 firms and has passed the Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2019 - November 21, 2019
SUTTER SECURITIES CLEARING, LLC
August 26, 2019 - December 2, 2020
SUTTER SECURITIES INCORPORATED
April 15, 2019 - February 26, 2020
IFP SECURITIES, LLC
December 20, 2016 - December 18, 2017
COHEN & STEERS SECURITIES, LLC
December 1, 2014 - December 2, 2016
N.A. INVESTCORP LLC
January 23, 2013 - November 10, 2014
LAZARD ASSET MANAGEMENT SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/19/2024
General Securities Representative ExaminationCurrent Firm
SUTTER SECURITIES CLEARING, LLC
CRD#: 134742 / SEC#: , 8-66859
Contact information
FINRA licenses (2 States and Territories)
Red Flags
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