Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alain? Claim Your ProfileAlain Connelly is an investment advisor representative associated with Ameriprise Financial Services, LLC. Connelly has over 30 years of experience in the financial services industry. Connelly is registered with the Securities and Exchange Commission as an investment advisor representative and is licensed to provide investment advice in California and Texas. Connelly offers a range of services to clients, including financial planning, asset allocation, and portfolio management. Connelly specializes in providing investment advice to high-net-worth individuals, trusts, and estates.
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.
Asset allocation services
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.
A percentage of the total value of assets under management is charged.
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2
CA
02/28/2018 - Present
Ameriprise Financial Services, LLC (San Diego CA)
CA
07/06/2012 - 03/01/2018
WELLS FARGO CLEARING SERVICES, LLC (SAN DIEGO CA)
CA
06/01/2009 - 07/11/2012
MORGAN STANLEY SMITH BARNEY (SAN DIEGO CA)
CA
08/29/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SAN DIEGO CA)
CA
09/19/1996 - 09/19/2008
UBS FINANCIAL SERVICES INC. (SAN DIEGO CA)
NY
07/31/1993 - 09/17/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
01/29/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 07/17/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/1990
Series 7 - General Securities Representative Examination
BC
Issued 06/19/1989
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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