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Alexis Halaby

Executive Committee Member at D. E. Shaw & Co.

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
6
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Alexis Halaby is Executive Committee Member of D. E. Shaw & Co., L.P., a New York investment adviser managing $213B. Alexis Halaby has a current broker registration and no current investment-adviser registration and has passed 6 licensing exams.

Role at D. E. Shaw & Co.

Title on Schedule A
Executive Committee Member
Control
Alexis Halaby is a control person of D. E. Shaw & Co..
Ownership
An individual ownership band is not available in the source record.
Tenure
Alexis Halaby has held the filed role since June 2021.

The firm

D. E. Shaw & Co., L.P.
New York, NY

Form ADV filed 14 August 2026

$213B AUM23 clients526 advisers5 offices

Career on record

Firms and exams, newest first
  1. Passed Series 79TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 24 · 2015
  4. Passed Series 3 · 2014
  5. Passed Series 7 and Series 63 · 2008

Registrations and exams

Broker registration; no current adviser registration. Alexis Halaby has passed 6 qualifying exams.

Examinations

Series 633 December 2008
Name
Uniform Securities Agent State Law Examination
Series 242 March 2015
Name
General Securities Principal Examination
Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 321 August 2014
Name
National Commodity Futures Examination
Series 718 November 2008
Name
General Securities Representative Examination

Individual record

Full name
Alexis Anne Halaby
CRD
4719650
Firm
D. E. Shaw & Co., L.P.
Registration status
Broker registration; no current adviser registration
Firm bio
deshaw.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Alexis Halaby is a managing director and Executive Committee member of D. E. Shaw & Co., L.P.; she oversees D. E. Shaw Investment Management and the firm’s Investor Relations and Communications departments. Official firm biography

Education

Common questions

Where does Alexis Halaby work?

Alexis Halaby has been Executive Committee Member of D. E. Shaw & Co., L.P. since June 2021, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 14 August 2026

Does Alexis Halaby have a current investment-adviser registration?

Alexis Halaby has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Alexis Halaby passed?

Alexis Halaby has passed 6 licensing exams: the Series 7, Series 63, Series 3, Series 24, SIE and Series 79TO. The earliest, the Series 7, was passed in November 2008.

Source: IAPD individual record, checked 18 October 2026

Leadership at D. E. Shaw & Co.

Sources

  1. IAPD individual record, CRD 4719650. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of D. E. Shaw & Co., L.P., filed 14 August 2026. Title, control and ownership bands.
  3. D. E. Shaw & Co. team page. Biography, education, credentials, awards.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Alexis Halaby or D. E. Shaw & Co., L.P. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.