Alexa Phillips

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (5)

SIESeries 7Series 6Series 66Series 63

Registered states (53)

Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming

Years in the industry (source record)

29

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

Fidelity Brokerage Services LLC

Firm CRD

7784

SEC number

Not yet retrieved from the source record

Assets under management

Not yet retrieved from the source record

Website

Not yet retrieved from the source record

Phone

Not yet retrieved from the source record

Firm location

Not yet retrieved from the source record

Employment history (21)

From the source registration record · current first

• Strategic Advisers LLCCurrent

  Ponte Vedra, FL · IA capacity
  start not retrieved → present
• Fidelity Brokerage Services LLCCurrent

  Durham, NC · BC capacity
  start not retrieved → present
• Fidelity Personal And Workplace Advisors

  Fort Lauderdale, FL · IA capacity
  Mar 10, 2022 → Mar 31, 2025
• Cetera Investment Advisers LLC

  Sunrise, FL · IA capacity
  Jul 30, 2021 → Nov 5, 2021
• Cetera Investment Services LLC

  Sunrise, FL · BC capacity
  Jul 15, 2021 → Nov 5, 2021
• Usi Advisors

  Fort Lauderdale, FL · IA capacity
  Jul 26, 2018 → Apr 22, 2021
• Usi Securities, Inc.

  Fort Lauderdale, FL · BC capacity
  Jul 20, 2018 → Mar 3, 2021
• Pnc Funds Distributor, LLC

  Fort Lauderdale, FL · BC capacity
  Nov 18, 2016 → May 22, 2018
• Pnc Capital Advisors LLC

  Fort Lauderdale, FL · IA capacity
  Apr 20, 2017 → May 21, 2018
• Lpl Financial LLC

  Plantation, FL · IA capacity
  Jul 2, 2013 → Apr 15, 2014
• Lpl Financial LLC

  Plantation, FL · BC capacity
  Jun 29, 2013 → Apr 15, 2014
• Valic Financial Advisors, Inc.

  West Palm Beach, FL · BC capacity
  Jun 21, 2012 → Jul 26, 2012
• Nationwide Investment Advisors, LLC

  Columbus, OH · IA capacity
  Nov 2, 2010 → Jun 4, 2012
• Nationwide Investment Services Corporation

  Columbus, OH · BC capacity
  Oct 26, 2010 → Jun 4, 2012
• Princor Financial Services Corporation

  Miami, FL · IA capacity
  Feb 23, 2006 → Aug 23, 2010
• Princor Financial Services Corporation

  Miami, FL · BC capacity
  Feb 4, 2005 → Aug 23, 2010
• Principal Funds Distributor, Inc.

  Des Moines, IA · BC capacity
  Nov 13, 2007 → Sep 23, 2008
• Adp Broker-Dealer, Inc.

  Roseland, NJ · BC capacity
  Oct 16, 1997 → Nov 23, 2004
• Icma - Rc Services, Inc.

  Washington, DC · BC capacity
  Nov 8, 1994 → Oct 14, 1997
• Pasadena Fund Services, Inc.

  BC capacity
  Aug 20, 1992 → Jul 19, 1994
• American Capital Financial Services, Inc.

  BC capacity
  May 26, 1987 → Sep 8, 1987

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.