Fern E. Alix- Larocca
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.
Fern Emily Alix- Larocca, who also goes by Fern Emily Alix, was a registered financial professional .
Fern is a previously registered financial professional and started their career in finance in 1981. Fern had worked at 7 firms and has passed the Series 7, Series 22 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
July 31, 2008 - January 5, 2023
ADVANCED FINANCIAL DESIGNS
November 1, 1995 - January 18, 1997
NATIONAL PLANNING CORPORATION
February 4, 1993 - December 31, 1993
FINANCIAL WEST GROUP
January 5, 1993 - December 31, 1993
FINANCIAL WEST GROUP
April 30, 1991 - December 31, 1992
FINANCIAL WEST GROUP
November 19, 1990 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
March 16, 1988 - September 13, 1991
FIRST AMERICA EQUITIES CORP.
June 22, 1982 - February 22, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
February 20, 1981 - June 1, 1982
WADDELL & REED
State Registrations and Notice Filings
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Exams
Current Firm
ADVANCED FINANCIAL DESIGNS
CRD#: 109702 / SEC#:
Contact information
Red Flags
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