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Alan Francis Ferrara

National Financial Services LLC

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About Alan Francis Ferrara

Alan Ferrara is a financial advisor at National Financial Services LLC in Smithfield, Rhode Island. Alan has over 17 years of experience in the financial industry. He is a registered representative with FINRA and holds Series 7, 24, 31, 63, and 66 licenses. He also holds the Securities Industry Essentials (SIE) exam. Alan specializes in working with individuals and families. He offers a range of financial services, including investment management, retirement planning, and insurance. Previously, Alan was employed at Fidelity Brokerage Services LLC and Morgan Stanley DW Inc.

Firm Information

Alan Ferrara is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

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 Ferrara’s Registration & Firm History

RI

09/24/2013 - Present

National Financial Services LLC (SMITHFIELD RI)

NY

08/02/2000 - 08/22/2001

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 11/21/2012

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 09/01/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/17/2021

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/13/2006

Series 7 - General Securities Representative Examination

BC

Issued 08/15/2000

Series 31 - Futures Managed Funds Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Alan Francis Ferrara.
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