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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 David Tom is a financial advisor with over 27 years of experience in the industry. Alan began his career at CITIGROUP GLOBAL MARKETS INC. in 1995 and joined Morgan Stanley in 2009. Alan is registered as a Registered Representative (RR) in Hawaii and as a Registered Investment Advisor (IA) in Texas and Hawaii. Alan has a wide range of experience in financial advising, including asset allocation, financial planning, pension consulting, educational seminars, portfolio management for businesses, individuals, and investment companies, and selection of other advisors.
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
HI
02/24/2020 - Present
Morgan Stanley (Honolulu HI)
HI
04/21/1995 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HONOLULU HI)
IA
Issued 05/06/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/06/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/10/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 04/01/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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