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AB

Alexis M. Becker

CARLETON MCKENNA ADVISORS
Cleveland, OH 44114
Some features on this profile are disabled
CRD#: 6975524
AB

Professional summary

Alexis Marie Becker is a registered financial professional currently at CARLETON MCKENNA ADVISORS, LLC located in Cleveland, Ohio.

Alexis is registered as a RR (Registered Representative) and started their career in finance in 2019. Alexis has worked at 1 firm and has passed the SIE and Series 79TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Alexis Marie Becker's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

June 6, 2019 - Present

CARLETON MCKENNA ADVISORS, LLC

Office #1: 1801 East Ninth Street Suite 1425, Cleveland, OH 44114Office #2: 1801 East 9th St. Suite 1425, Cleveland, OH 44114-3199
BD
CRD#: 159230
Cleveland, OH

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Ohio
(6/7/2019)

Exams

General Industry/Product Exam
RR
SIE
Date: 4/26/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/21/2018
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CM
CARLETON MCKENNA ADVISORS, LLC
CARLETON MCKENNA ADVISORS, LLC

CRD#: 159230 / SEC#: , 8-68971

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1801 East 9th St. Suite 1425, Cleveland, OH 44114-3199
Mailing Address
1801 East 9th St. Suite 1425, Cleveland, OH 44114-3199
Phone number
(216) 523-1962
Established
Ohio since 05/31/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CARLETON MCKENNA & CO. LLCOWNER
CARLETON MCKENNA & CO., LLCOWNER
MCKENNA, CHRISTOPHER JAMESMANAGING DIRECTOR1704158
ROMERO, MONIQUE VICTORIAFINOP6712654
SMITH, RYANCHIEF COMPLIANCE OFFICER4596415

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

CARLETON MCKENNA ADVISORS, LLC

CRD#: 159230Cleveland, OH 44114

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