Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan B. Smith is a financial advisor with over 20 years of experience in the securities industry. Alan is currently registered with Fidelity Brokerage Services LLC. Alan holds Series 7, Series 63, and SIE licenses and has been registered in several states including Kentucky, Ohio, Illinois, Indiana, Texas and Wisconsin. Prior to joining Fidelity Brokerage Services LLC, Alan worked for Fidelity Investments Institutional Services Company, Inc. and Fidelity Brokerage Services LLC.
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.
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.
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2
KY
01/01/2008 - Present
Fidelity Brokerage Services LLC (COVINGTON KY)
KY
04/28/2006 - 01/01/2008
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (COVINGTON KY)
RI
01/01/2002 - 04/28/2006
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
BC
Issued 02/15/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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