Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alain? Claim Your ProfileAlain Georges Albergel is a financial professional with over 25 years of experience in the industry. Alain currently works at Raymond James & Associates, Inc. and holds a Series 3, 7, 63, and 65 licenses. Alain has worked at several other firms over the years including Wachovia Securities, LLC and Prudential Securities Incorporated. Alain is registered to provide investment advice in 14 states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
11/04/2013 - Present
Raymond James & Associates, Inc. (CORAL GABLES FL)
FL
07/11/2003 - 02/12/2007
WACHOVIA SECURITIES, LLC (MIAMI FL)
NY
04/14/1998 - 07/16/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 10/21/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/26/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/1998
Series 3 - National Commodity Futures Examination
BC
Issued 03/14/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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