Alexis Georgeanna Herman

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2014 → 06/2021
  Presidential Brokerage, Inc.
  Greenwood Village, CO
• 06/2021 → Present
  Raymond James Financial Services, Inc
  Greenwood Village, CO
• 06/2021 → 06/2024
  Crux Wealth Advisors
  Long Beach, CA
• 06/2021 → Present
  Raymond James Financial Services Advisor
  Greenwood Village, CO

Previous Registrations

• 2014-07-18 → 2021-07-14
  Forta Financial Group, Inc.
  Greenwood Village, CO
• 2013-10-16 → 2014-07-22
  Northwestern Mutual Investment Services, Llc
  Denver, CO

Other Businesses

(1)Name of Business: Elevation Wealth Partners LLC Address: 5251 DTC Parkway Suite 1150, Greenwood Village, CO, 80111-3139, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 07/16/2024 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Member of the LLC. (2)Name of Business: Herman Huts LLC Address: 7404 S Houstoun Waring Circle, Littleton, CO, 80120, United States Activity Type: Rental Real Estate Position/Title: Partner Investment Related: Yes Start Date: 02/03/2010 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Run the Quickbooks and work with the accountant to file taxes. (3)Name of Business: Herman Properties LLC Address: 7404 S Houstoun Waring Circle, Littleton, CO, 80120, United States Activity Type: Rental Real Estate Position/Title: Investment Related: Yes Start Date: 12/01/2007 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: (4)Name of Business: Thrive Wealth LLC Address: 5251 DTC Parkway Suite 1150, Greenwood Village, CO, 80111-3139, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 11/17/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Was planning to run individual payroll through. Not currently in use but keeping the name. (5)Name of Business: WH Wealth Management LLC Address: 5251 DTC Parkway Suite 1150, Greenwood Village, CO, 80111-3139, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 03/22/2021 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Member. We run payroll and office expenses through this LLC.

Exams

• S66 Uniform Combined State Law Examination
  2013-10-15

Other Names

• Alexis Georgeanna Gounis