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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Browne Whitman is a financial advisor with over 50 years of experience in the industry. Alan Whitman is currently registered with Morgan Stanley and has been with the firm since 2009. Prior to that, Alan Whitman held positions at Morgan Stanley DW Inc. and Dean Witter & Co. Incorporated. Alan Whitman is a Series 7, Series 63, SIE, and PC licensed representative, and has a broad range of experience in financial planning, portfolio management, and investment advisory services. Alan Whitman works with a variety of clients, including individuals, families, businesses, and institutions.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
06/01/2009 - Present
Morgan Stanley (Pasadena CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PASADENA CA)
CA
02/24/1978 - 04/02/2007
MORGAN STANLEY DW INC. (PASADENA CA)
NA
05/16/1973 - 02/24/1978
DEAN WITTER & CO. INCORPORATED
NA
12/22/1971 - 05/16/1973
DEAN WITTER & CO. INCORPORATED
BC
Issued 02/02/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/06/1979
PC - AMEX Put and Call Exam
BC
Issued 12/13/1971
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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