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ALEXIS ELIZABETH SFERRA
ALEXIS SFERRA, LEXI SFERRA
CRD#: 6277621
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
CHICAGO, IL 60606
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2014 - 2014 (<1 year)2 FIRMS2014 - Present (10 years)
License(s)

State Registrations

B
Arizona 1/14/2015

B
Missouri 5/1/2017

B
California 1/14/2015

B
Nevada 7/29/2019

B
Colorado 1/14/2015

B
New Hampshire 6/19/2019

B
Connecticut 1/2/2025

B
New Jersey 1/14/2015

B
Delaware 2/5/2020

B
New York 1/14/2015

B
District of Columbia 12/14/2017

B
North Carolina 1/15/2015

B
Florida 1/14/2015

B
Ohio 1/16/2015

B
Georgia 1/18/2018

B
Oklahoma 8/23/2024

B
Hawaii 7/1/2019

B
Oregon 2/11/2021

B
Illinois 12/2/2014

B
Pennsylvania 1/15/2015

IA
Illinois 12/24/2014

B
South Carolina 3/9/2017

B
Indiana 1/14/2015

B
Tennessee 6/17/2019

B
Iowa 1/23/2015

B
Texas 1/14/2015

B
Kansas 9/27/2024

IA
Texas 1/14/2015

B
Kentucky 1/23/2015

B
Utah 12/14/2017

B
Maine 1/9/2020

B
Vermont 10/20/2021

B
Maryland 2/5/2020

B
Virginia 1/14/2015

B
Massachusetts 1/15/2015

B
Washington 1/14/2015

B
Michigan 1/14/2015

B
Wisconsin 1/15/2015

B
Minnesota 1/15/2015

B
Wyoming 2/5/2020

B
Mississippi 1/2/2025

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 12/24/2014

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 12/2/2014

Previous Registration(s)
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B
02/25/2014 - 07/01/2014 NORTHCOAST RESEARCH PARTNERS, LLC (CRD#:149109) CLEVELAND, OH
B
02/24/2014 - 07/01/2014 ANCORA SECURITIES, INC (CRD#:16076) CLEVELAND, OH
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B
Broker
IA
Investment Adviser
Disclosures
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.