Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Aldo Waker is a registered investment advisor representative with SPC, an investment firm based in Ann Arbor, Michigan. Alan has over 17 years of experience in the financial services industry. Prior to joining SPC, Alan worked at several other financial institutions, including Southwest Securities, Inc., SWS Financial Services, Inc., and Charles Schwab & Co., Inc. Alan holds Series 66, Series 7, and SIE licenses. Alan specializes in providing financial planning, pension consulting, educational seminars, and portfolio management services to individuals, businesses, and pension and profit sharing plans. Alan provides financial services to a diverse clientele, including individuals, corporations, trusts, estates, charitable organizations, and pension and profit sharing plans. Alan is committed to providing his clients with the highest level of service and expertise.
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.
Consultation 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.
Seminar attendance fees
1
2
MI
09/28/2012 - Present
SPC (ANN ARBOR MI)
TX
10/27/2009 - 10/02/2012
SWS FINANCIAL SERVICES, INC. (AUSTIN TX)
TX
12/23/2008 - 10/19/2009
SOUTHWEST SECURITIES, INC. (AUSTIN TX)
TX
08/11/2008 - 10/31/2008
401(K) INVESTMENT SERVICES, INC. (AUSTIN TX)
TX
07/30/2008 - 10/31/2008
CHARLES SCHWAB & CO., INC. (AUSTIN TX)
TX
01/01/2008 - 07/23/2008
WACHOVIA SECURITIES, LLC (AUSTIN TX)
TX
03/18/2005 - 01/03/2008
A. G. EDWARDS & SONS, INC. (AUSTIN TX)
BOTH
Issued 04/26/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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