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Alexa Sider Pao Subject of Florida Cease-and-Desist Order

Aug 24, 2021 Regulatory Action

Alexa Sider Pao (CRD #: 5675301), a broker registered with NY Life Securities, is involved in a regulatory action in Florida, according to her BrokerCheck record, accessed on August 6, 2021. Details are provided below.

On July 2, 2021, Alexa Sider Pao became the subject of a cease-and-desist order from the Florida Office of Financial Regulation. The order alleged that Pao rendered investment advice from a Florida location without a Florida registration. As part of the sanctions, Florida imposed a fine of $38,750.

Alexa Sider Pao Background Information

Pao has passed the following exams:

  • Series 65 Uniform Securities Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination
  • Series 6 Investment Company Products / Variable Contracts Representative Examination

She is a registered broker in ten states and is a registered investment adviser in three states.

She has worked with the following firms:

  • NYLife Securities (CRD #: 5167)
  • Eagle Strategies (CRD #: 1180826)

Kurta Law Can Help

If you worked with Alexa Sider Pao and you have concerns about your investments, contact Kurta Law today. Call 212-658-1502 or email jkurta@kurtalawfirm.com.