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Current Employers
The Huntington Investment Company

41 S. High Street, Columbus, OH 43215 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-01-10
  • IL RA
    APPROVED
    Since 2024-01-10

Branch Locations

Chicago, IL • United States

Southport And Fullerton 1400 W Fullerton Ave, Chicago, IL 60614 • United States

Hfa Service Center Osj - Bethel Road 1600 Bethel Road, Columbus, OH 43220 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jp Morgan Securities Llc Chicago IL 01/2016 09/2017
Jp Morgan Chase Bank Na Chicago IL 01/2016 09/2017
Wells Fargo Clearing Services Llc Chicago IL 09/2017 11/2019
Raymond James & Associates, Inc. Chicago IL 11/2019 12/2023
The Huntington Investment Company Chicago IL 01/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-12-14
S63 Uniform Securities Agent State Law Examination 2014-04-03
  • S65 Uniform Investment Adviser Law Examination
    2018-12-14
  • S63 Uniform Securities Agent State Law Examination
    2014-04-03
Other Names
  • Lexi Newman
  • Alexis Newman
  • Alexis Rachel Newman
  • Alexis R Fritts

View on SEC IAPD

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