Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Grant Pumphrey is a financial advisor with over 38 years of experience in the financial services industry. Alan is currently registered with LPL Financial LLC and is licensed in 30 states. Alan's experience includes positions at Wells Fargo Clearing Services, LLC, A.G. Edwards & Sons, Inc., Dean Witter Reynolds Inc., Shearson Lehman Hutton Inc., and E.F. Hutton & Company Inc.
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.
Consulting and other non-discretionary advisory services
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.
1
2
IN
02/11/2022 - Present
LPL Financial LLC (CARMEL IN)
IN
01/01/2008 - 02/15/2022
WELLS FARGO CLEARING SERVICES, LLC (INDIANAPOLIS IN)
IN
01/11/1999 - 01/03/2008
A. G. EDWARDS & SONS, INC. (INDIANAPOLIS IN)
NY
04/11/1988 - 01/21/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
02/15/1988 - 04/27/1988
SHEARSON LEHMAN HUTTON INC.
NA
08/22/1984 - 02/15/1988
E. F. HUTTON & COMPANY INC
BC
Issued 09/06/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/1984
Series 3 - National Commodity Futures Examination
BC
Issued 08/18/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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