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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 Brookshire is a financial advisor in Asheville, NC. Alan has been in the industry since 1995. He has worked for several firms, including Oppenheimer & Co. Inc., J.J.B. Hilliard, W.L. Lyons, LLC, and now Robert W. Baird & Co. Inc. Alan is registered with FINRA as a general securities representative and holds a Series 7, Series 31, and Series 63. Alan also holds a Series 65, which allows him to provide investment advisory services.
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.
See schedule d
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.
Hard dollar payments for research
1
2
NC
12/05/2019 - Present
Robert W. Baird & Co. Inc. (Asheville NC)
NC
05/29/2018 - 10/18/2019
J.J.B. HILLIARD, W.L. LYONS, LLC (ASHEVILLE NC)
NC
03/17/2009 - 05/30/2018
OPPENHEIMER & CO. INC. (ASHEVILLE NC)
NC
11/07/2008 - 03/16/2009
STANFORD GROUP COMPANY (ASHEVILLE NC)
NC
11/08/2002 - 11/14/2008
UBS FINANCIAL SERVICES INC. (ASHVILLE NC)
NY
03/03/1997 - 11/12/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
09/06/1996 - 03/12/1997
ROUND HILL SECURITIES, INC. (ALAMO CA)
MN
02/06/1995 - 09/12/1996
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
02/06/1995 - 09/12/1996
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 07/22/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/17/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/10/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 02/03/1995
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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