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ALEXIS GEORGEANNA HERMAN
ALEXIS GEORGEANNA GOUNIS
CRD#: 6078853
IA
B
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 5619 DTC PKWY STE 800
Greenwood Village, CO 80111
Greenwood Village, CO 80111
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 5619 DTC Pkwy, Ste 800
Greenwood Village, CO 80111
Greenwood Village, CO 80111
0
Disclosures
12
Years of Experience
View By:
State Registrations
B
Arizona 6/18/2021
B
New Jersey 8/2/2024
B
California 6/18/2021
B
New Mexico 6/18/2021
B
Colorado 6/18/2021
B
New York 6/18/2021
IA
Colorado 6/18/2021
B
North Carolina 7/16/2021
B
Delaware 8/2/2024
B
Oklahoma 7/15/2021
B
Florida 6/18/2021
B
Pennsylvania 7/16/2021
B
Georgia 9/24/2024
B
South Carolina 7/1/2021
B
Iowa 12/5/2022
B
Tennessee 7/15/2021
B
Kansas 8/23/2023
B
Texas 6/18/2021
B
Maine 7/15/2021
IA
Texas 7/2/2021
B
Maryland 6/18/2021
B
Utah 7/15/2021
B
Massachusetts 8/2/2024
B
Virginia 7/15/2021
B
Michigan 5/9/2022
B
Washington 10/27/2023
B
Minnesota 6/1/2023
B
West Virginia 4/4/2023
B
Missouri 7/15/2021
B
Wisconsin 6/18/2021
B
Nevada 7/15/2021
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 6/18/2021
B
Registered with this firm since 6/18/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/18/2014 - 07/14/2021 | GREENWOOD VILLAGE, CO | |
B | 07/18/2014 - 07/14/2021 | GREENWOOD VILLAGE, CO | |
IA | 10/16/2013 - 07/22/2014 | DENVER, CO | |
B | 02/04/2013 - 07/22/2014 | DENVER, CO |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.