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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

Alexis Schumann

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAVE CREEK, AZ | Phoenix, AZ

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 3
On other graphs: 0
Observed: Jul 5, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 12, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Nov 12, 2001
First registration: Jul 5, 2002
Dual registered: yes, broker-dealer
Other names: ALEXIS VERONICA SCHUMANN|ALEXIS V SCHUMANN|ALEXIS V WHERRY
IAPD individual key: 3157769

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Apr 27, 2026	n/a	yes	CAVE CREEK, AZ\|Phoenix, AZ	Current employment
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Nov 4, 2025	Dec 9, 2025	no	HOUSTON, TX\|Syracuse, NY	Previous registration
CADARET GRANT & CO INC	Former SEC adviser	Jun 24, 2024	Dec 9, 2025	no	SYRACUSE, NY\|Cave Creek, AZ\|SYRACUSE, NY	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Jul 30, 2014	Jun 27, 2024	no	SCOTTSDALE, AZ	Previous registration
FSC SECURITIES CORPORATION	Former SEC adviser	Jul 30, 2014	Nov 3, 2023	no	ATLANTA, GA	Previous registration
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Jul 30, 2014	Jan 19, 2024	no	OAKDALE, MN	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Sep 4, 2012	Sep 29, 2023	no	SCOTTSDALE, AZ	Previous registration
HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC	Former SEC adviser	Apr 26, 2012	Aug 3, 2012	no	SCOTTSDALE, AZ	Previous registration
SUNAMERICA SECURITIES, INC.	n/a	Jul 5, 2002	Sep 16, 2005	no	PHOENIX, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CADARET GRANT & CO INC	NEXT FINANCIAL GROUP, INC.	Dec 9, 2025	Nov 4, 2025	-35	Firm change after gap	Ibd to ibd
NEXT FINANCIAL GROUP, INC.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Dec 9, 2025	Apr 27, 2026	139	Firm change	Ibd to ibd
OSAIC WEALTH, INC.	CADARET GRANT & CO INC	Jun 27, 2024	Jun 24, 2024	-3	Firm change	Ibd to ibd
WOODBURY FINANCIAL SERVICES, INC.	OSAIC WEALTH, INC.	Jan 19, 2024	Jul 30, 2014	-3,460	Bulk transfer	Other
FSC SECURITIES CORPORATION	WOODBURY FINANCIAL SERVICES, INC.	Nov 3, 2023	Jul 30, 2014	-3,383	Channel change	Other
SAGEPOINT FINANCIAL, INC.	FSC SECURITIES CORPORATION	Sep 29, 2023	Jul 30, 2014	-3,348	Channel change	Other
HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC	SAGEPOINT FINANCIAL, INC.	Aug 3, 2012	Sep 4, 2012	32	Firm change	Other
SUNAMERICA SECURITIES, INC.	HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC	Sep 16, 2005	Apr 26, 2012	2,414	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7461:421:GA:2023-11-03	Nov 3, 2023	Jul 30, 2014	ATLANTA, GA	Firm change after gap

Relationships

Registered with (9)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
Apr 27, 2026 to presentfactForm ADV
→ CADARET GRANT & CO INCRegistered adviserregistration: previous registration
Jun 24, 2024 to Dec 9, 2025factForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Nov 4, 2025 to Dec 9, 2025factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Jul 30, 2014 to Jun 27, 2024factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 30, 2014 to Jan 19, 2024factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jul 30, 2014 to Nov 3, 2023factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Sep 4, 2012 to Sep 29, 2023factForm ADV
→ HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 26, 2012 to Aug 3, 2012factForm ADV
→ SUNAMERICA SECURITIES, INC.Registered adviserregistration: previous registration
Jul 5, 2002 to Sep 16, 2005factForm ADV

Dated events

Occurred
Dec 9, 2025
Advisor changed firm
Alexis Schumann left Next Financial Group, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2026-04-27)
Form ADVobserved 6 days ago
Occurred
Dec 9, 2025
Advisor changed firm
Alexis Schumann left Cadaret Grant & Co Inc for Next Financial Group, Inc. (registered 2025-11-04)
Form ADVobserved 6 days ago
Occurred
Jun 27, 2024
Advisor changed firm
Alexis Schumann left Osaic Wealth, Inc. for Cadaret Grant & Co Inc (registered 2024-06-24)
Form ADVobserved 6 days ago