Alexis L. Vanden Bos
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 Leigh Vanden Bos, CFP®, who also goes by Alexis Leigh Vandenbos, Judy Lynn Vandenbos, was a registered financial professional .
Alexis is a previously registered financial professional and started their career in finance in 1976. Alexis had worked at 13 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 27, Series 24, Series 4, Series 53, Series 40 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2008
Experience
August 17, 2020 - March 1, 2022
PURSHE KAPLAN STERLING INVESTMENTS
March 17, 2017 - November 14, 2018
PURSHE KAPLAN STERLING INVESTMENTS
March 6, 2008 - June 26, 2015
EK RILEY INVESTMENTS, LLC
August 26, 2003 - December 31, 2007
EK RILEY ADVISORS, LLC
June 9, 2003 - June 26, 2015
EK RILEY INVESTMENTS, LLC
May 17, 2001 - June 9, 2003
KMS FINANCIAL SERVICES, INC.
May 11, 2001 - June 9, 2003
KMS FINANCIAL SERVICES, INC.
May 2, 2001 - May 21, 2001
WELLS FARGO INVESTMENTS, LLC
August 4, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
November 12, 1997 - August 15, 2000
WAMU INVESTMENTS, INC.
March 1, 1995 - November 6, 1997
SEAFIRST INVESTMENT SERVICES, INC.
February 7, 1995 - March 10, 1995
FSIC
July 13, 1993 - September 25, 1993
MADISON GROUP SECURITIES INC.
December 18, 1992 - July 9, 1993
CAPITAL ACCESS, LTD.
September 12, 1990 - March 10, 1992
COSSE' INTERNATIONAL SECURITIES, INC.
December 2, 1976 - October 31, 1988
HARRIS INVESTORLINE INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 40
Date: 3/8/1977
Registered Principal ExaminationF04
Date: 1/11/1977
Financial Principal ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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