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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 Buford Adler is a financial advisor with Morgan Stanley. Alan has been in the financial services industry since 1983. Alan holds Series 3, 7, 9, 10, 15, 63, and SIE licenses. Alan has been registered with Morgan Stanley since June 2009. Previously, Alan was registered with Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Wachovia Securities, LLC, and Prudential Securities Incorporated. Alan has experience in providing financial advice to a variety of clients including individuals, high-net-worth individuals, institutions, and corporations. Alan is committed to providing his clients with personalized financial advice and services to help them reach their financial goals.
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 (CLAREMONT CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ONTARIO CA)
CA
11/05/2004 - 04/02/2007
MORGAN STANLEY DW INC. (CLAREMONT CA)
MO
07/01/2003 - 11/23/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
03/22/1983 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 03/31/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/11/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/1989
Series 5 - Interest Rate Options Examination
BC
Issued 06/14/1988
Series 15 - Foreign Currency Options Examination
BC
Issued 09/01/1987
Series 3 - National Commodity Futures Examination
BC
Issued 03/19/1983
Series 7 - General Securities Representative Examination
Active
Inactive
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