Alexa Sider Pao Subject of Florida Cease-and-Desist Order
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 firstname.lastname@example.org.