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Alisha Gettys

Chief Compliance Officer at SVB Asset Management

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

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Alisha Gettys is Chief Compliance Officer of SVB Asset Management, a San Francisco investment adviser managing $32.3B. Alisha Gettys has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 63, Series 24 and SIE.

Role at SVB Asset Management

Title on Schedule A
Chief Compliance Officer
Control
Alisha Gettys is not a control person of SVB Asset Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Alisha Gettys has held the filed role since February 2025.

The firm

SVB Asset Management
San Francisco, CA

Form ADV filed 18 September 2026

$32.3B AUM458 clients24 advisers7 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 24 · 2017
  3. Passed Series 7 and Series 63 · 2013

Registrations and exams

Broker registration; no current adviser registration. Alisha Gettys has passed 4 qualifying exams.

Examinations

Series 636 November 2013
Name
Uniform Securities Agent State Law Examination
Series 2413 November 2017
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 728 October 2013
Name
General Securities Representative Examination

Individual record

Full name
Alisha Danielle Gettys
CRD
6254273
Firm
SVB Asset Management
Registration status
Broker registration; no current adviser registration

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

Common questions

Where does Alisha Gettys work?

Alisha Gettys has been Chief Compliance Officer of SVB Asset Management since February 2025.

Source: Form ADV, Schedule A, filed 18 September 2026

Does Alisha Gettys have a current investment-adviser registration?

Alisha Gettys 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 Alisha Gettys passed?

Alisha Gettys has passed 4 licensing exams: the Series 7, Series 63, Series 24 and SIE. The earliest, the Series 7, was passed in October 2013.

Source: IAPD individual record, checked 18 October 2026

Leadership at SVB Asset Management

Sources

  1. IAPD individual record, CRD 6254273. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of SVB Asset Management, filed 18 September 2026. Title, control and ownership bands.

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 Alisha Gettys or SVB Asset Management and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.