Alexis Prokop: Ex-UBS Advisor Faces Illegal Transfer Complaint

Garden City, New York financial advisor Alexis Prokop (CRD# 5632376) allegedly made illegal wire transfers, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with UBS Financial Services.

Ms. Prokop’s BrokerCheck report discloses one investor complaint. Filed in April 2026, it alleges that as a representative of UBS Financial Services, she “sent out wire transfers that were illegal and without [the client’s] authorization to his ex wife.” The pending complaint alleges unspecified damages.

For reference, unauthorized trading may be found to violate FINRA Rule 3260, which describes specific conditions under which brokers like Ms. Prokop are permitted to make transactions without first consulting the investor. It may also violate FINRA Rule 2010, which stipulates that FINRA-associated persons must “observe high standards of commercial honor and just and equitable principles of trade.” Brokers who engage in unauthorized trading may be held liable for damages and/or subject to disciplinary action.

According to the Financial Industry Regulatory Authority, Alexis Prokop holds 14 years of securities industry experience. Based in Garden City, New York, she has been registered as a broker and an investment advisor with Ameriprise Financial Services since January 2026. Her past registrations include UBS Financial Services, Morgan Stanley, and OppenheimerFunds Distributor. Her credentials include the passage of four securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Combined State Law Examination, or Series 66; the Uniform Securities Agent State Law Examination, or Series 63; and the General Securities Representative Examination, or Series 7. She holds 32 state licenses. (Information current as of June 4, 2026.)

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