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Alan Do

SG Americas Securities, LLC

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About Alan Do

Alan Do is a financial professional with over 20 years of experience in the industry. He is currently registered with SG Americas Securities, LLC. Alan holds multiple licenses, including Series 7, Series 3, Series 99TO and SIE. Previously, he was also registered with Newedge USA, LLC, FIMAT Preferred LLC, and PreferredTrade, Inc. His work experience includes time in New York and San Francisco. Alan specializes in providing financial advice and investment management services.

Firm Information

Alan Do is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Alan Do’s Registration & Firm History

NY

01/02/2015 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

01/01/2007 - 01/02/2015

NEWEDGE USA, LLC (NEW YORK NY)

CA

07/01/2005 - 01/02/2007

FIMAT PREFERRED LLC (SAN FRANCISCO CA)

CA

03/21/2002 - 07/01/2005

PREFERREDTRADE, INC. (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 07/07/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/30/2003

Series 3 - National Commodity Futures Examination

BC

Issued 03/19/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Alan Do.
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